Chad M. Schmidt
Professional summary
Chad Matthew Schmidt was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Chad is a previously registered financial advisor and started their career in finance in 1996. Prior to being barred, Chad had worked at 3 firms, which includes CITICORP INVESTMENT SERVICES, PRUDENTIAL EQUITY GROUP LLC, CIBC WORLD MARKETS CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 2003 - December 1, 2003
CITICORP INVESTMENT SERVICES
November 5, 2002 - December 1, 2003
CITICORP INVESTMENT SERVICES
May 4, 2000 - October 9, 2002
PRUDENTIAL EQUITY GROUP, LLC
November 10, 1997 - October 9, 2002
PRUDENTIAL EQUITY GROUP, LLC
July 10, 1996 - August 27, 1996
CIBC WORLD MARKETS 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
CITICORP INVESTMENT SERVICES
CRD#: 23988 / SEC#: , 8-40802
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIBANK WEST HOLDINGS INC | SOLE SHAREHOLDER | |
| ANGIONE, DOMINICK JOHN JR | SROP | 1260456 |
| BAUMGARTNER, JOHN | GENERAL COUNSEL | |
| HENRYNICOLL, CAROL ANNETTE | CROP | 2228729 |
| HINMAN, DAVID J | PRESIDENT AND CHAIRMAN | 2712080 |
| KILKENNY, ROBERTA MERCEDES | TREASURER | 2425698 |
| MALLETT, JOHN CARLTON | CHIEF FINANCIAL OFFICER | 1569049 |
| TUBMAN, JOHN THOMAS | INVESTMENT ADVISOR COMPLIANCE OFFICER | 1412675 |
| TUBMAN, JOHN THOMAS | CHIEF COMPLIANCE OFFICER | 1412675 |
| WOLFSON, BARBARA | DIRECTOR OF CIS BOARD - DIRECTOR OF OPERATIONS | 833847 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 19 |
Red Flags
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