Richard F. Schmeling
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.
Richard Francis Schmeling, who also goes by Dick Schmeling, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1969. Richard had worked at 16 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 2009 - August 12, 2010
GROVE POINT INVESTMENTS, LLC
December 14, 2009 - December 7, 2015
GROVE POINT INVESTMENTS, LLC
November 9, 2001 - December 11, 2009
SII INVESTMENTS, INC.
November 9, 2001 - December 11, 2009
SII INVESTMENTS, INC.
October 15, 1997 - November 9, 2001
FIRST MIDWEST SECURITIES, INC.
May 4, 1995 - October 15, 1997
GENEVA SECURITIES,INC.
September 28, 1994 - May 9, 1995
INVEST FINANCIAL CORPORATION
January 20, 1993 - August 26, 1994
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
October 1, 1985 - August 26, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
October 1, 1985 - August 26, 1994
SIGNATOR INVESTORS, INC.
April 29, 1985 - September 16, 1985
DELAWARE DISTRIBUTORS, L.P.
October 28, 1982 - October 2, 1985
DELAWARE MANAGEMENT COMPANY, INC.
April 30, 1981 - September 7, 1982
NATIONAL SECURITIES & RESEARCH CORPORATION
November 11, 1980 - May 10, 1981
B. C. ZIEGLER AND COMPANY
July 15, 1980 - December 13, 1980
INDEPENDENT FINANCIAL PLANNERS CORPORATION
January 16, 1980 - August 24, 1980
SENTRY EQUITY SERVICES, INC.
June 21, 1976 - November 15, 1979
B. C. ZIEGLER AND COMPANY
July 30, 1975 - July 21, 1976
SECURITY COUNSELORS INC.
December 18, 1969 - May 10, 1972
ALLSTATE ENTERPRISES MANAGEMENT COMPANY
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 1
Date: 12/11/1969
Registered Representative ExaminationCurrent Firm
GROVE POINT INVESTMENTS, LLC
CRD#: 1763 / SEC#: 801-undefined, 8-31165
Contact information
FINRA licenses (4 States and Territories)
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
| Bond | 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.
