Egon Schmoll
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.
Egon Schmoll was a registered financial professional .
Egon is a previously registered financial professional and started their career in finance in 2005. Egon had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 55 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 11, 2015 - April 2, 2015
CAPITAL ONE ADVISORS, LLC
March 11, 2015 - April 2, 2015
CAPITAL ONE INVESTING, LLC
January 18, 2012 - March 2, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 13, 2012 - March 2, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 17, 2010 - December 21, 2011
CITIGROUP GLOBAL MARKETS INC.
June 21, 2010 - December 21, 2011
CITIGROUP GLOBAL MARKETS INC.
June 15, 2005 - July 8, 2009
BANC OF AMERICA SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 9/12/2005
Limited Representative-Equity Trader ExamCurrent Firm
CAPITAL ONE ADVISORS, LLC
CRD#: 136865 / SEC#: 801-64662
Contact information
Documents
Red Flags
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