Jonathan E. Schmink
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.
Jonathan Edward Schmink, who also goes by Jonathan E Schmink, Jonathan Edward Schmink, was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 2008. Jonathan had worked at 5 firms and has passed the Series 63, 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
April 30, 2019 - January 30, 2020
WORDEN CAPITAL MANAGEMENT LLC
May 11, 2018 - March 8, 2019
NYLIFE SECURITIES LLC
June 22, 2010 - October 26, 2015
ROCKWELL GLOBAL CAPITAL LLC
January 26, 2009 - June 23, 2010
FIRST MIDWEST SECURITIES, INC.
February 8, 2008 - January 26, 2009
NEWBRIDGE SECURITIES CORPORATION
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
WORDEN CAPITAL MANAGEMENT LLC
CRD#: 148366 / SEC#: , 8-68010
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 12 |
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.
