William P. 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.
William Phillip Schmidt was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1973. William had worked at 7 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
January 19, 2010 - December 31, 2013
GROVE POINT INVESTMENTS, LLC
January 15, 2010 - May 3, 2016
GROVE POINT INVESTMENTS, LLC
February 5, 2001 - December 31, 2009
FSC SECURITIES CORPORATION
August 11, 1997 - December 31, 2009
FSC SECURITIES CORPORATION
January 10, 1994 - August 4, 1997
MARINER FINANCIAL SERVICES, INC.
May 8, 1991 - December 31, 1992
MARINER FINANCIAL SERVICES, INC.
May 2, 1978 - May 7, 1991
OSAIC FS, INC.
March 29, 1977 - February 14, 1978
THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY
March 29, 1977 - February 14, 1978
PAUL REVERE EQUITY SALES COMPANY (THE)
April 23, 1973 - July 2, 1977
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
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: 4/14/1973
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
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