Robert Schmieder
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.
Robert Schmieder, who also goes by Rob Schmieder, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1997. Robert had worked at 7 firms and has passed the Series 63, SIE, Series 16 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
March 20, 2017 - January 10, 2022
VAN ECK SECURITIES CORPORATION
October 3, 2013 - September 28, 2015
BBVA SECURITIES INC.
September 8, 2010 - March 1, 2013
HSBC SECURITIES (USA) INC.
February 25, 2009 - August 2, 2010
CREDIT AGRICOLE SECURITIES (USA) INC.
July 26, 2006 - June 18, 2008
J.P. MORGAN SECURITIES LLC
April 2, 2001 - July 3, 2006
SANTANDER INVESTMENT SECURITIES INC.
February 24, 2000 - March 6, 2001
CREDIT SUISSE SECURITIES (USA) LLC
October 13, 1997 - February 23, 2000
SANTANDER INVESTMENT SECURITIES 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
VAN ECK SECURITIES CORPORATION
CRD#: 2269 / SEC#: , 8-4618
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VAN ECK ASSOCIATES CORPORATION | 100% OWNER & PARENT | |
| GOZZILLO, FRANCESCO MICHAEL | CHIEF COMPLIANCE OFFICER | 2099916 |
| RAPPAPORT, LEE ROBERT | VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, OPERATIONS PRINCIPAL (FINOP) AND DIRECTOR | 4682842 |
| SIMON, JONATHAN RICH | SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY AND DIRECTOR | 5313394 |
| VANECK, JAN FREDERICK | PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR | 1695680 |
Disclosures
| Regulatory Event | 2 |
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.
