Fred Vincent Schmidt
Professional Summary
Fred Vincent Schmidt was a registered financial advisor. Fred was a previously registered financial professional and started their career in finance 1995 - 1998. Fred had worked at 2 firms and has passed the Series 63, Series 7 and Series 22 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
31 years in the financial services industry
Current & Past Employments
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Current Firm
HAMBRECHT & QUIST | HAMBRECHT & QUIST LLC | HAMBRECHT & QUIST INCORPORATED
Contact Information
Established
Delaware since 03/08/1995Firm Type
Limited Liability CompanyFiscal Year End
SeptemberDocuments
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
20Arbitration
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Jan 1995About the Series 22 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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