Eric J. Schmid
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.
Eric John Schmid was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 2013. Eric had worked at 2 firms and has passed the Series 63, Series 57TO, Series 79TO, Series 7TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 2023 - January 12, 2026
IEX DAP LLC
September 17, 2013 - October 16, 2018
IEX SERVICES LLC
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
Series 57TO
Date: 8/20/2024
Securities Trader ExamSeries 79TO
Date: 10/16/2023
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 6/16/2023
General Securities Representative ExaminationSeries 55
Date: 10/22/2013
Limited Representative-Equity Trader ExamCurrent Firm
IEX DAP LLC
CRD#: 318014 / SEC#: , 8-70869
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IEX DAP GROUP LLC | PARENT | |
| KATSUYAMA, BRADLEY TOSHIO | PRESIDENT | 4463961 |
| ASARE, ALPHONSE KWESI | PRINCIPAL OPERATIONS OFFICER | 6140970 |
| DUKESHERER, JACK ROBERT | CHIEF COMPLIANCE OFFICER | 5671449 |
| OCONNELL, TERRANCE DANIEL | FINANCIAL AND OPERATIONS PRINCIPAL & PRINCIPAL FINANCIAL OFFICER | 4898427 |
| RESNICK, CRAIG | CHIEF FINANCIAL OFFICER | 5718420 |
Red Flags
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