Jeff D. Schmucker
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.
Jeff Daniel Schmucker, who also goes by Jeff Daniel Schmucker, Jeff Schmucker, Jeffrey D Schmucker, Jeffrey Daniel Schmucker, was a registered financial professional .
Jeff is a previously registered financial professional and started their career in finance in 2018. Jeff had worked at 3 firms and has passed the Series 66, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2021 - October 13, 2021
TD AMERITRADE, INC.
June 4, 2019 - January 28, 2021
EDWARD JONES
April 18, 2019 - January 28, 2021
EDWARD JONES
October 26, 2018 - November 13, 2018
NYLIFE SECURITIES 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 7TO
Date: 5/11/2019
General Securities Representative ExaminationCurrent Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
