Fred V. 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.
Fred Vincent Schmidt was a registered financial professional .
Fred is a previously registered financial professional and started their career in finance in 1995. Fred had worked at 2 firms and has passed the Series 63, Series 7 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 1997 - June 17, 1998
HAMBRECHT & QUIST LLC
January 18, 1995 - June 13, 1995
AMERICAN FINANCE GROUP SECURITIES CORP.
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
HAMBRECHT & QUIST LLC
CRD#: 940 / SEC#: , 8-29123
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| H&Q CALIFORNIA (A CALIFORNIA CORPORATION) | LLC MEMBER | |
| AARON, STEVEN ROSS | DIRECTOR OF COMPLIANCE | 1298072 |
| ALLEN, PATRICK JOSEPH | CHIEF FINANCIAL OFFICER | 2036949 |
| BAKAR, TODD DAVID | MANAGING DIRECTOR, DIRECTOR OF RESEARCH | 1724555 |
| CASE, DANIEL HIBBARD III | CHAIRMAN, CEO | 1076482 |
| GOLDEN, DAVID G | MANAGING DIRECTOR, INVESTMENT BANKING | 1818452 |
| H&Q B/D SUBSIDIARY CORPORATION | LLC MEMBER | |
| HULLAR, JOHN PAUL | MANAGING DIRECTOR, DIRECTOR OF WORLDWIDE SALES | 711679 |
| MACHTINGER, STEVEN NEIL | MANAGING DIRECTOR, GENERAL COUNSEL & SECRETARY | 1141460 |
| MCAULIFFE, DAVID MATTHEW | CHIEF OPERATING OFFICER | 873286 |
| MORGAN, CRISTINA MARIA | MANAGING DIRECTOR, INVESTMENT BANKING | 1108185 |
| PATTERSON, GARY ROBERT | MANAGING DIRECTOR, EXECUTIVE FINANCIAL SERVICES | 1247193 |
Disclosures
| Regulatory Event | 20 |
| Arbitration | 2 |
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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