Andrew M. 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.
Andrew Michael Schmidt, CIMA®, who also goes by Andrew Schmidt, Andrew M Schmidt, Andrew Schmidt, Andy Schmidt, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2002. Andrew had worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, 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
March 15, 2023 - September 30, 2025
NORTHERN LIGHTS DISTRIBUTORS, LLC
March 14, 2016 - May 28, 2021
VANGUARD MARKETING CORPORATION
August 25, 2015 - February 22, 2016
INVESCO ADVISERS, INC.
September 18, 2006 - February 22, 2016
INVESCO DISTRIBUTORS, INC.
November 7, 2005 - September 18, 2006
ALPS DISTRIBUTORS, INC.
September 14, 2005 - October 20, 2005
A. G. EDWARDS & SONS, INC.
September 14, 2005 - October 20, 2005
A. G. EDWARDS & SONS, INC.
April 19, 2002 - August 29, 2005
MORGAN STANLEY DW INC.
February 13, 2002 - August 29, 2005
MORGAN STANLEY DW 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 7TO
Date: 12/9/2022
General Securities Representative ExaminationCurrent Firm
NORTHERN LIGHTS DISTRIBUTORS, LLC
CRD#: 126159 / SEC#: , 8-65857
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE ULTIMUS GROUP MIDCO, LLC | SOLE MEMBER | |
| EVANS, GREGORY ASHTON | FINANCIAL OPERATIONS PRINCIPAL | 4850219 |
| GUERETTE, KEVIN | PRESIDENT | 2960114 |
| JAMES, DAVID KENNETH | MANAGER | 6998721 |
| PRESTON, STEPHEN LYNN | CHIEF COMPLIANCE OFFICER/AML OFFICER | 2217795 |
| STRAIT, WILLIAM JOHN | SECRETARY/GENERAL COUNSEL/MANAGER | 6123015 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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