Richard 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.
Richard Charles Schmidt, who also goes by Dick Schmidt, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1977. Richard had worked at 16 firms and has passed the Series 65, Series 63, Series 7, Series 1 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 11, 2014 - July 21, 2015
EAGLE FINANCIAL ADVISORS, LLC
January 17, 2012 - August 15, 2013
VERITRUST FINANCIAL, LLC
January 3, 2012 - August 15, 2013
VERITRUST FINANCIAL, LLC
September 16, 2011 - February 1, 2012
THE RETIREMENT GROUP, LLC
August 16, 2011 - January 19, 2012
FSC SECURITIES CORPORATION
November 6, 2006 - August 17, 2011
WORKMAN SECURITIES CORPORATION
July 18, 2006 - October 2, 2006
WORKMAN SECURITIES CORPORATION
July 17, 2006 - August 17, 2011
WORKMAN SECURITIES CORPORATION
August 15, 2005 - July 25, 2006
GUNNALLEN FINANCIAL, INC
August 8, 2005 - July 25, 2006
GUNNALLEN FINANCIAL, INC
July 17, 2001 - August 5, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 10, 2001 - August 5, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 6, 1999 - July 9, 2001
PRIME CAPITAL SERVICES, INC.
October 23, 1996 - October 6, 1999
FFP SECURITIES, INC.
December 3, 1993 - October 17, 1996
VOYA FINANCIAL ADVISORS, INC.
January 4, 1988 - November 23, 1993
WALNUT STREET SECURITIES, INC.
October 30, 1984 - January 6, 1988
LPL FINANCIAL LLC
September 4, 1981 - November 1, 1984
MANAGED INVESTMENTS, INC.
September 19, 1979 - July 15, 1981
FINANCIAL ESTATE PLANNING, INC.
July 5, 1979 - September 11, 1986
THE O.N. EQUITY SALES COMPANY
December 21, 1977 - July 14, 1979
HORNOR, TOWNSEND & KENT, 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 1
Date: 12/12/1977
Registered Representative ExaminationCurrent Firm
EAGLE FINANCIAL ADVISORS, LLC
CRD#: 167696 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 373 |
| AUM (Assets Under Management) | $ 86,998,719 |
Red Flags
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