James A. Schmidt

TRIBECA FINANCIAL

MESA, AZ 85215

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CRD#: 4054134

Professional summary

James Arthur Schmidt, who also goes by Jim Arthur Schmidt, is a registered financial advisor currently at TRIBECA FINANCIAL, LLC located in Mesa, Arizona.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. James has worked at 4 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Arthur 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.

1) 77 WEST, LLC, 77 WEST UNIVERSITY DR, MESA, AZ 85201, LESSOR OF COMMERCIAL OFFICE BUILDING TO SCHMIDT WESTERGARD & COMPANY, PLLC, MEMBER MANAGER, 1-1-2001, 1-2 HOURS PER MONTH, NO HOURS DEVOTED DURING SECURITY TRADING HOURS, SINGLE PROPERTY MANAGEMENT AND GOVERNMENT FILINGS. 2)DECKER & CO INC., NO OWNERSHIP OWNED BY BROTHER-IN-LAW. AM CORPORATE SECRETARY, 1-2 HRS/YR, 1985-PRES. 3) SW WEALTHCARE SERVICES, LLC, NON-INVESTMENT RELATED, 77 WEST UNIVERSITY DR, MESA, AZ 85201, MEMBER MANAGER, PROVIDES LEAD GENERATION SERVICES, 1-1-2001, LESS THAN ONE HOUR PER MONTH, MANAGEMENT AND GOVERNMENT FILINGS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Arthur 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

March 15, 2022 - Present

TRIBECA FINANCIAL, LLC

Office #1: 2812 N. Norwalk Ste 103, Mesa, AZ 85215

RIA

CRD#: 113245

MESA, AZ

Past

April 22, 2002 - December 31, 2008

1ST GLOBAL ADVISORS INC

RIA

CRD#: 111133

MESA, AZ

Past

September 10, 2001 - December 31, 2008

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

MESA, AZ

Past

January 28, 2000 - September 18, 2001

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

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".

TRIBECA FINANCIAL, LLC

RICEDORFF FINANCIAL SERVICES LLC | WEALTH PLANNING STRATEGIES | TRIBECA FINANCIAL, LLC | TRIBECA CAPITAL MANAGEMENT, LLC | RICEDORFF FINANCIAL SERVICES LLC DBA TRIBECA FINANCIAL SERVICES, LLC

CRD#: 113245 / SEC#: 801-60441

RIA

Registered Investment Advisory firm - (7/27/2001 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.

Highlighted states indicate IAR registrations

IAR

Arizona
(3/15/2022)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/23/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/10/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/27/2000

General Securities Representative Examination

Current Firm

TRIBECA FINANCIAL, LLC

RICEDORFF FINANCIAL SERVICES LLC | WEALTH PLANNING STRATEGIES | TRIBECA FINANCIAL, LLC | TRIBECA CAPITAL MANAGEMENT, LLC | RICEDORFF FINANCIAL SERVICES LLC DBA TRIBECA FINANCIAL SERVICES, LLC

CRD#: 113245 / SEC#: 801-60441

RIA

Registered Investment Advisory firm - (7/27/2001 Approved)

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Contact information

Main Address

2812 N. Norwalk Ste 103, Mesa, AZ 85215

Mailing Address

Phone number

(480) 553-6247

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TRIBECA FINANCIAL, LLC DISCLOSURE BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	531
AUM (Assets Under Management)	$ 202,643,084

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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James A. Schmidt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Arthur Schmidt's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRIBECA FINANCIAL, LLC

1ST GLOBAL ADVISORS INC

1ST GLOBAL CAPITAL CORP.

WMA SECURITIES, INC.

Primary Firm SEC Registration

TRIBECA FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/23/2001

Series 63

Date: 2/10/2000

Series 7

Date: 1/27/2000

Current Firm

TRIBECA FINANCIAL, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRIBECA FINANCIAL, LLC

TRUST BUT VERIFY

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