Christopher P. 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.
Christopher Paul Schmidt was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1997. Christopher had worked at 6 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 2012 - July 23, 2013
QUESTAR CAPITAL CORPORATION
March 2, 2011 - August 31, 2012
AMERICAN EQUITY INVESTMENT CORPORATION
September 2, 2009 - September 27, 2010
NEXT FINANCIAL GROUP, INC.
September 2, 2009 - September 27, 2010
NEXT FINANCIAL GROUP, INC.
June 17, 2008 - April 30, 2009
THRIVENT INVESTMENT MANAGEMENT INC.
June 17, 2008 - April 30, 2009
THRIVENT INVESTMENT MANAGEMENT INC.
September 6, 2005 - June 16, 2008
NEXT FINANCIAL GROUP, INC.
October 1, 2004 - September 2, 2005
CETERA INVESTMENT SERVICES LLC
November 12, 1999 - September 30, 2004
NATIONAL PLANNING CORPORATION
January 28, 1997 - November 16, 1999
CETERA INVESTMENT SERVICES LLC
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
QUESTAR CAPITAL CORPORATION
CRD#: 43100 / SEC#: , 8-50174
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| YORKTOWN FINANCIAL COMPANIES, INC. - INDIANA | SHAREHOLDER | |
| BRAUN, BARBARA J | CHIEF TECHNOLOGY AND EXECUTIVE PROJECTS OFFICER | 6839583 |
| BROOKS, MELISSA CAWOOD | CHIEF FINANCIAL OFFICER | 4219393 |
| DU MOND, SHARON LEA | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 2134316 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER, SECRETARY | 4241291 |
| SAND PETERSON, JESSICA KAY | CHIEF OPERATING AND SUPERVISION OFFICER | 4274882 |
| STARKMAN, KRISTINE ALANE | CHIEF COMPLIANCE OFFICER | 2409241 |
| THOMES, ERIC JON | CHAIRMAN | 4645308 |
| WHITE, WALTER REX | DIRECTOR |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
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