Michael G. Schmitt
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.
Michael Gerard Schmitt, who also goes by Michael Gerald Schmitt, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1992. Michael had worked at 2 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2004 - March 25, 2004
BANC ONE CAPITAL MARKETS, INC.
December 18, 1992 - May 9, 1996
SBC WARBURG, INC.
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
Current Firm
BANC ONE CAPITAL MARKETS, INC.
CRD#: 23065 / SEC#: , 8-40208
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BANC ONE FINANCIAL CORPORATION | PARENT | |
| BALDINO, JAMES JOSEPH | MANAGING DIRECTOR | 1055005 |
| BAMMANN, LINDA B | VICE CHAIRMAN | 2353874 |
| BOSHART, JAMES STEWART III | EVP | 26474 |
| CHIRCOP, ALOYSIUS RALPH | MANAGING DIRECTOR | 2536911 |
| CLARKE, TERRENCE BRADY | SENIOR COMPLIANCE DIRECTOR / CROP | 2368988 |
| COATS, ROBERT TRUSTEN JR | SENIOR ASSOCIATE GENERAL COUNSEL | 2043399 |
| COLE, CHRISTINE ELEANOR | MANAGING DIRECTOR | 2756145 |
| DECORREVONT, PATRICE PURCELL | MANAGING DIRECTOR/SALES MANAGER | 2178639 |
| FELKER, WILLIAM ROBERT | PRESIDENT & CHIEF OPERATING OFFICER | 2354456 |
| HALLREPPEN, RICHARD JOSEPH | DIRECTOR/CHIEF ADMINISTRATIVE OFFICER | 2354462 |
| NEAL, JOHN ERIC | MANAGING DIRECTOR/VICE CHAIRMAN | 2262668 |
| ROMANI, WILLIAM RENO | MANAGING DIRECTOR/CHIEF FINANCIAL OFFICER | 2458879 |
| SCHABES, DAVID HENRY | BOCM CHAIRMAN/CHIEF EXECUTIVE OFFICER | 2368993 |
| SULLIVAN, MARGARET MARY | MANAGING DIRECTOR/CHIEF OPERATIONS OFFICER | 1940830 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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