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WAYNE DAVID SCHMIDT
CRD#: 1313631
IA
B
AMERITAS ADVISORY SERVICES, LLCCRD#: 317245 MANDEVILLE, LA
AMERITAS INVESTMENT COMPANY, LLCCRD#: 14869 Mandeville, LA
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2/20/2003
Customer Dispute
Denied
State Registrations
B
Colorado 7/23/2019
B
Louisiana 3/20/2006
B
Florida 7/23/2019
IA
Louisiana 11/1/2021
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 11/1/2021
B
Registered with this firm since 3/16/2006
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/20/2006 - 11/01/2021 | Metairie, LA | |
IA | 11/15/2004 - 02/17/2006 | METAIRIE, LA | |
B | 08/08/2003 - 02/17/2006 | METAIRIE, LA | |
IA | 08/26/2002 - 06/20/2003 | METAIRIE, LA | |
B | 02/13/1987 - 06/20/2003 | SPRINGFIELD, MA | |
B | 02/13/1987 - 06/20/2003 | NEW YORK, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.