Ira S. Schnell
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.
Ira S Schnell, who also goes by Ira S Schnell, Ira Stephen Schnell, was a registered financial professional .
Ira is a previously registered financial professional and started their career in finance in 1997. Ira had worked at 7 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2016 - February 22, 2018
UPHOLD SECURITIES INC.
May 14, 2010 - March 18, 2016
GUGGENHEIM SECURITIES, LLC
February 4, 2005 - May 12, 2010
KAUFMAN BROS., L.P.
September 29, 2003 - November 11, 2004
UBS CAPITAL MARKETS L.P.
May 21, 2003 - October 2, 2003
MILLENNIUM BROKERAGE, L.L.C.
May 17, 2001 - March 19, 2003
OPPENHEIMER & CO. INC.
April 10, 1997 - June 4, 2001
CITIGROUP GLOBAL MARKETS 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
Series 55
Date: 7/15/1999
Limited Representative-Equity Trader ExamCurrent Firm
UPHOLD SECURITIES INC.
CRD#: 34071 / SEC#: , 8-46202
Contact information
FINRA licenses (12 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UPHOLD, INC. | PARENT | |
| SNYDER, CURTIS LEE JR | PRESIDENT & COO/CFO/CCO | 1885111 |
Disclosures
| Regulatory Event | 1 |
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.
