Carlton J. Schmidt

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CRD#: 4256175

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.

Carlton Jeffers Schmidt, who also goes by Jeff Schmidt, was a registered financial professional .

Carlton is a previously registered financial professional and started their career in finance in 2000. Carlton had worked at 3 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jeff 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 14, 2007 - June 26, 2013

THOMPSON DAVIS & CO., INC.

RIA

CRD#: 41353

RICHMOND, VA

Past

February 6, 2006 - June 26, 2013

THOMPSON DAVIS & CO., INC.

CRD#: 41353

RICHMOND, VA

Past

January 17, 2003 - August 18, 2005

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

RICHMOND, VA

Past

January 2, 2003 - August 18, 2005

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

November 30, 2000 - October 29, 2002

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

RICHMOND, VA

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".

THOMPSON DAVIS & CO., INC.

CRD#: 41353 / SEC#: 801-120472, 8-49386

RIA

Registered Investment Advisory firm - SEC (3/5/2021 Approved)

Florida

Registered Investment Advisory firm - SEC (6/17/2021 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (6/17/2021 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (6/21/2021 Terminated)

Texas

Registered Investment Advisory firm - SEC (6/17/2021 Terminated)

Virginia

Registered Investment Advisory firm - SEC (6/17/2021 Terminated)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 1/16/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/9/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/26/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/4/2000

Investment Company Products/Variable Contracts Representative Examination

Current Firm

THOMPSON DAVIS & CO., INC.

CRD#: 41353 / SEC#: 801-120472, 8-49386

RIA

Registered Investment Advisory firm - SEC (3/5/2021 Approved)

Florida

Registered Investment Advisory firm - SEC (6/17/2021 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (6/17/2021 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (6/21/2021 Terminated)

Texas

Registered Investment Advisory firm - SEC (6/17/2021 Terminated)

Virginia

Registered Investment Advisory firm - SEC (6/17/2021 Terminated)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

9030 Stony Point Pkwy, Ste 100, Richmond, VA 23235

Mailing Address

9030 Stony Point Pkwy, Ste 100, Richmond, VA 23235

Phone number

(804) 644-6380

Established

New York since 08/24/1995

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (5 States and Territories)

FINRA licenses (33 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

THOMPSON DAVIS ASSET MANAGEMENT - SEVEN HILLS (3/28/2025)

THOMPSON DAVIS ASSET MANAGEMENT - SMA (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
DAVIS, WILLIAM DALE JR	CEO	2056775
THALHIMER, ADAM ROBERT	DIRECTOR OF RESEARCH	4472072
THOMPSON, EDWARD HUNTER JR	CHAIRMAN	445674
ALTIZER, JUNE ELAINE	CFO/FINOP/PFO/POO	2114981
DANIEL, MATTHEW HENRY	SR. VICE PRESIDENT	4258203
WALZ, PEGGY MYERS	CCO	2996925
JONES, BRANT CHRISTOPHER	INVESTMENT ADVISOR	5945363

Regulatory assets under management

Total Number of Accounts	300
AUM (Assets Under Management)	$ 206,863,938

Disclosures

Regulatory Event

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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Firm Stability Insights

Carlton J. Schmidt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

THOMPSON DAVIS & CO., INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

CAPITAL BROKERAGE CORPORATION

Primary Firm SEC Registration

THOMPSON DAVIS & CO., INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/16/2003

Series 63

Date: 11/9/2000

Series 7

Date: 12/26/2002

Series 6

Date: 10/4/2000

Current Firm

THOMPSON DAVIS & CO., INC.

Contact information

SEC notice filing (5 States and Territories)

FINRA licenses (33 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

THOMPSON DAVIS & CO., INC.

TRUST BUT VERIFY

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