Stephanie J. 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.
Stephanie Jones Schmidt, who also goes by Stephanie Marie Jones, was a registered financial professional .
Stephanie is a previously registered financial professional and started their career in finance in 2001. Stephanie had worked at 4 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2016 - October 15, 2019
RETIREONE INVESTMENT SERVICES, LLC
April 4, 2011 - April 22, 2016
SANDERS MORRIS LLC
December 9, 2005 - June 10, 2008
FIRST CLEARING, LLC
October 17, 2001 - December 9, 2005
WELLS FARGO CLEARING SERVICES, LLC
March 28, 2001 - October 17, 2001
FIRST CLEARING, LLC
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 55
Date: 2/15/2002
Limited Representative-Equity Trader ExamCurrent Firm
RETIREONE INVESTMENT SERVICES, LLC
CRD#: 269923 / SEC#: , 8-69640
Contact information
FINRA licenses (53 States and Territories)
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.
