Nicolas G. 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.
Nicolas Gustavo Schmidt, who also goes by Nicholas Gustavo Schmidt, Nicolas G. Schmidt, Nicolas Gustavo Urzua, was a registered financial professional .
Nicolas is a previously registered financial professional and started their career in finance in 2001. Nicolas had worked at 6 firms and has passed the Series 63, Series 66, SIE, Series 31 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
June 7, 2018 - July 24, 2020
OCEAN PARK SECURITIES, LLC
October 13, 2016 - May 17, 2018
CITIGROUP GLOBAL MARKETS INC.
August 21, 2015 - September 12, 2016
J.P. MORGAN SECURITIES LLC
June 24, 2004 - July 30, 2008
J.P. MORGAN SECURITIES INC.
January 17, 2003 - May 26, 2004
CREDIT SUISSE SECURITIES (USA) LLC
January 17, 2003 - May 26, 2004
CREDIT SUISSE SECURITIES (USA) LLC
October 9, 2001 - January 17, 2003
PERSHING LLC
October 8, 2001 - January 17, 2003
PERSHING 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
Current Firm
OCEAN PARK SECURITIES, LLC
CRD#: 282608 / SEC#: , 8-69722
Contact information
FINRA licenses (8 States and Territories)
Documents
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.
