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RS

Ross A. Schimel

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CRD#: 3032123
RS

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.

Ross Andrew Schimel was a registered financial professional .

Ross is a previously registered financial professional and started their career in finance in 1998. Ross had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 55 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 20, 2015 - September 22, 2017

UPHOLD SECURITIES INC.

BD
CRD#: 34071
NEW YORK, NY
Past

May 5, 2015 - July 30, 2015

MAXIM GROUP LLC

BD
CRD#: 120708
NEW YORK, NY
Past

June 24, 2005 - July 22, 2005

TD PRIME SERVICES LLC

BD
CRD#: 1914
NEW YORK, NY
Past

January 8, 2003 - June 6, 2005

LEK SECURITIES CORPORATION

BD
CRD#: 33135
NEW CITY, NY
Past

December 17, 2002 - January 22, 2003

HLA SECURITIES INC

BD
CRD#: 32713
NEW YORK, NY
Past

October 2, 2002 - January 10, 2003

SAFIR SECURITIES, INC.

BD
CRD#: 35805
NEW YORK, NY
Past

July 29, 2002 - September 27, 2002

BROKERAGEAMERICA, LLC

BD
CRD#: 47966
NEW YORK, NY
Past

October 19, 2001 - January 17, 2002

RUMSON CAPITAL, LLC

BD
CRD#: 33848
MONTEBELLO, NY
Past

July 1, 1999 - March 7, 2001

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

BD
CRD#: 3466
NEW YORK, NY
Past

October 20, 1998 - July 9, 1999

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/26/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/22/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/5/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 7/7/1999
Limited Representative-Equity Trader Exam

Current Firm

US
UPHOLD SECURITIES INC.
JNK SECURITIES | UPHOLD SECURITIES, INC. DBA JNK SECURITIES | UPHOLD SECURITIES INC. | JNK SECURITIES CORP.

CRD#: 34071 / SEC#: , 8-46202

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
530 Fifth Avenue 3rd Floor, New York, NY 10036
Mailing Address
530 Fifth Avenue Ste 3a, New York, NY 10036
Phone number
(203) 554-5542
Established
New York since 05/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
UPHOLD, INC.PARENT
SNYDER, CURTIS LEE JRPRESIDENT & COO/CFO/CCO1885111

Disclosures

Regulatory Event1

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.

Company Information

UPHOLD SECURITIES INC.

CRD#: 34071

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