George M. 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.
George Michael Schmidt, who also goes by Michael Schmidt, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 2000. George had worked at 4 firms and has passed the Series 63, Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2018 - March 20, 2018
TD AMERITRADE, INC.
February 26, 2018 - March 20, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - March 20, 2018
TD AMERITRADE, INC.
March 6, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
September 4, 2015 - February 26, 2018
SCOTTRADE, INC.
March 9, 2010 - May 17, 2012
SCOTTRADE, INC.
May 30, 2006 - February 28, 2008
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 31, 2003 - February 28, 2008
TD AMERITRADE, INC.
March 22, 2000 - February 28, 2008
TD AMERITRADE, 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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
