Joshua C. 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.
Joshua Carl Schmitt was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2015. Joshua had worked at 1 firm and has passed the Series 11 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 2015 - June 10, 2016
FOOTHILL SECURITIES, 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
Series 11
Date: 6/12/2015
Assistant Representative-Order Processing Qualification ExamCurrent Firm
FOOTHILL SECURITIES, INC.
CRD#: 1027 / SEC#: 801-57293, 8-11117
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
