James H. Schmidt
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.
James Harry Schmidt was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1962. James had worked at 3 firms and has passed the Series 65, Series 2, Series 1, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 1995 - September 10, 2017
D/B/A STRATEGIC PORTFOLIO MANAGEMENT
September 12, 1978 - August 21, 1987
UBS FINANCIAL SERVICES INC.
May 4, 1962 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
State Registrations and Notice Filings
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Exams
Series 2
Date: 5/23/1995
Non-Member General Securities ExaminationSeries 1
Date: 5/4/1962
Registered Representative ExaminationSeries 40
Date: 8/17/1971
Registered Principal ExaminationCurrent Firm
D/B/A STRATEGIC PORTFOLIO MANAGEMENT
CRD#: 109734 / SEC#:
Contact information
Red Flags
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