Kimberly C Schmidt
Professional Summary
Kimberly C Schmidt, who also goes by Kim C Schmidt, is a registered financial advisor currently at ELMCORE SECURITIES LLC located in Chicago, Illinois. Kimberly is registered as a RR (Registered Representative) and started their career in finance in 2012. Kimberly has worked at 2 firms and has passed the Series 63, Series 65, SIE, Series 79, Series 7, Series 99, Series 14, Series 28 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Kim C Schmidt
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
14 years in the financial services industry
Current & Past Employments
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Current Firm
ELMCORE SECURITIES LLC
Contact Information
Main Address
500 W Madison Street, Suite 1000, Chicago, IL 60661Mailing Address
500 W Madison Street, Suite 1000, Chicago, IL 60661Phone Number
(312) 488-4008Established
Nevada since 05/02/2011Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (7 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ELMCORE GROUP INC. | MEMBER | — |
| DANCIU, FELIX GAVRIL | EXECUTIVE REPRESENTATIVE, CHIEF EXECUTIVE OFFICER, MANAGER | 4463642 |
| SCHMIDT, KIMBERLY C | FINOP & PRINCIPAL FINANCIAL OFFICER | 4551566 |
| SCHMIDT, KIMBERLY C | CHIEF COMPLIANCE OFFICER | 4551566 |
| SCHMIDT, KIMBERLY C | CHIEF OPERATING OFFICER & PRINCIPAL OPERATIONS OFFICER | 4551566 |
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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.
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State Registrations and Notice Filings
(9/4/2019)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Mar 2015About the Series 79 examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Feb 2015About the Series 28 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Kimberly C Schmidt's CRS (Customer Relationship Summary).
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