Brendon M. Schmitt
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.
Brendon Michael Schmitt, who also goes by Brendon M Schmitt, was a registered financial professional .
Brendon is a previously registered financial professional and started their career in finance in 2007. Brendon had worked at 2 firms and has passed the Series 66, SIE 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
August 28, 2013 - July 13, 2015
EZE CASTLE TRANSACTION SERVICES LLC
August 22, 2007 - November 28, 2011
ALPS DISTRIBUTORS, 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
Current Firm
EZE CASTLE TRANSACTION SERVICES LLC
CRD#: 132246 / SEC#: , 8-66577
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
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.
