Robert R. Schmidt
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Ronald Schmidt, who also goes by Ron Schmidt, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1991. Robert had worked at 3 firms and has passed the Series 63, Series 99TO, Series 6TO, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 1995 - April 21, 2025
WESTPORT FINANCIAL SERVICES, L.L.C.
August 31, 1992 - May 5, 1995
WESTPORT FINANCIAL SERVICES, INC.
November 22, 1991 - April 29, 1992
MERCER ALLIED CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
WESTPORT FINANCIAL SERVICES, L.L.C.
CRD#: 38449 / SEC#: , 8-48204
Contact information
FINRA licenses (46 States and Territories)
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
