Jeffrey J. Schmidt

FIRST TRUST ADVISORS LP

WHEATON, IL 60187

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CRD#: 3251294

Professional summary

Jeffrey Joseph Schmidt, who also goes by Jeff Schmidt, is a registered financial advisor currently at FIRST TRUST ADVISORS LP located in Wheaton, Illinois and FIRST TRUST PORTFOLIOS L.P. located in Wheaton, Illinois.

Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Jeffrey has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jeff Schmidt

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) - RIA

Click below to view Jeffrey Joseph Schmidt's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

July 2, 2012 - Present

FIRST TRUST ADVISORS LP

Office #1: 120 E. Liberty Drive Suite 400, Wheaton, IL 60187

RIA

CRD#: 107027

WHEATON, IL

Current

November 1, 2007 - Present

FIRST TRUST PORTFOLIOS L.P.

Office #1: 120 E. Liberty Drive Suite 400, Wheaton, IL 60187

CRD#: 28519

WHEATON, IL

Past

June 1, 2006 - November 13, 2007

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570

BUFFALO GROVE, IL

Past

August 2, 2005 - June 1, 2006

EVERLAKE DISTRIBUTORS, LLC

CRD#: 100460

NORTHBROOK, IL

Past

May 18, 2004 - August 1, 2005

INVESTORS BROKERAGE SERVICES, INC.

CRD#: 4257

ELGIN, IL

Past

April 12, 2002 - October 15, 2002

WORLD GROUP SECURITIES, INC.

CRD#: 114473

DULUTH, GA

Past

February 9, 2001 - April 12, 2002

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

Past

February 23, 2000 - July 24, 2000

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

February 23, 2000 - January 10, 2001

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FIRST TRUST ADVISORS LP

CRD#: 107027 / SEC#: 801-39950

RIA

Registered Investment Advisory firm - (10/4/1991 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Illinois
(11/1/2007)

IAR

Illinois
(7/2/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/30/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/3/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/11/2011

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/22/2000

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

FIRST TRUST ADVISORS LP

CRD#: 107027 / SEC#: 801-39950

RIA

Registered Investment Advisory firm - (10/4/1991 Approved)

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Contact information

Main Address

120 E. Liberty Drive Suite 400, Wheaton, IL 60187

Mailing Address

Phone number

(630) 765-8000

Established

Firm type

Fiscal year end

# of Employees

520

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FTA FORM ADV PART 2A BROCHURE - 03.31.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	5,033
AUM (Assets Under Management)	$ 256,328,000,000

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.

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Advisor Monitoring

Firm Stability Insights

Jeffrey J. Schmidt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Joseph Schmidt's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST TRUST PORTFOLIOS L.P.

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

EVERLAKE DISTRIBUTORS, LLC

INVESTORS BROKERAGE SERVICES, INC.

WORLD GROUP SECURITIES, INC.

WMA SECURITIES, INC.

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

FIRST TRUST ADVISORS LP

State Registrations and Notice Filings

Exams

Series 66

Date: 6/30/2012

Series 63

Date: 3/3/2000

SIE

Date: 10/1/2018

Series 7

Date: 2/11/2011

Series 6

Date: 2/22/2000

FINRA

Current Firm

FIRST TRUST ADVISORS LP

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FIRST TRUST ADVISORS LP

TRUST BUT VERIFY

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