Victor J. Schmerbeck
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.
Victor Joseph Schmerbeck, who also goes by VIc Schmerbeck, was a registered financial professional .
Victor is a previously registered financial professional and started their career in finance in 1995. Victor had worked at 2 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2009 - July 3, 2013
FIRST SOUTHWEST COMPANY, LLC
June 20, 2000 - October 27, 2009
ASPEN EQUITY PARTNERS, LLC
May 12, 1995 - May 16, 2000
FIRST SOUTHWEST COMPANY, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIRST SOUTHWEST COMPANY, LLC
CRD#: 316 / SEC#: , 8-1523
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
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.
