Eric N. Schmickle
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.
Eric Nathaniel Schmickle was a registered financial advisor .
Eric is a previously registered financial advisor and started their career in finance in 2000. Eric had worked at 3 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2008 - October 14, 2010
Q WEALTH MANAGEMENT, INC
September 5, 2007 - April 22, 2008
LPL FINANCIAL LLC
June 10, 2005 - April 22, 2008
LPL FINANCIAL LLC
November 22, 2000 - June 15, 2005
A. G. EDWARDS & SONS, 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
Current firm
No current employment
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.
