John C. Schmidt
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.
John Corey Schmidt was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2008. John had worked at 3 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
September 28, 2018 - February 1, 2019
ANDERSEN WEALTH MANAGEMENT
June 1, 2009 - October 21, 2016
MORGAN STANLEY
June 1, 2009 - October 21, 2016
MORGAN STANLEY
July 8, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
June 11, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS 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
ANDERSEN WEALTH MANAGEMENT
CRD#: 146154 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,350 |
| AUM (Assets Under Management) | $ 81,011,187 |
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.
