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DS

Daniel T. Shumate

FMI CAPITAL ADVISORS
Raleigh, NC 27603
Some features on this profile are disabled
CRD#: 6151184
DS

Professional summary

Daniel Thomas Shumate, who also goes by Daniel Thomas Schmate, is a registered financial professional currently at FMI CAPITAL ADVISORS, INC. located in Raleigh, North Carolina.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2013. Daniel has worked at 1 firm and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Daniel Thomas Schmate

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel Thomas Shumate's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

February 12, 2013 - Present

FMI CAPITAL ADVISORS, INC.

Office #1: 223 South West St. Suite 1200, Raleigh, NC 27603
BD
CRD#: 129262
Raleigh, NC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(3/5/2013)
RR
Colorado
(2/12/2013)
RR
Florida
(2/12/2013)
RR
North Carolina
(3/5/2013)

Exams

State Security Law Exam
RR
Series 63
Date: 3/4/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 2/11/2013
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FC
FMI CAPITAL ADVISORS, INC.
FMI CAPITAL ADVISORS, INC.

CRD#: 129262 / SEC#: , 8-66206

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
44 Cook St Ste 900, Denver, CO 80206-5827
Mailing Address
44 Cook St Ste 900, Denver, CO 80206-5827
Phone number
(303) 377-4740
Established
Colorado since 07/30/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FMI CORPORATIONPARENT CO.
HUCKABY, TIMOTHY DONPRESIDENT4596179
THORNTON, STEVEN LEECCO / FINOP4496384

Disclosures

Regulatory Event2

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.

Company Information

FMI CAPITAL ADVISORS, INC.

CRD#: 129262Raleigh, NC 27603

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