Joseph A. Schmittler
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.
Joseph Anthony Schmittler was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2003. Joseph had worked at 5 firms and has passed the Series 55, 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
May 14, 2012 - July 11, 2013
VIRTU AMERICAS LLC
December 20, 2010 - July 17, 2012
KNIGHT CAPITAL AMERICAS, L.P.
September 24, 2007 - January 3, 2011
KELLOGG CAPITAL MARKETS, LLC
August 1, 2006 - September 21, 2007
KELLOGG CAPITAL GROUP LLC
September 26, 2003 - January 13, 2004
HEARD TRADING, 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
Series 55
Date: 2/9/2009
Limited Representative-Equity Trader ExamCurrent Firm
VIRTU AMERICAS LLC
CRD#: 149823 / SEC#: , 8-68193
Contact information
FINRA licenses (51 States and Territories)
Documents
Disclosures
| Regulatory Event | 57 |
| Civil Event | 1 |
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.
