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Detailed Report
KENT CHARLES SCHMIDT
KENT SCHMIDT
CRD#: 2153325
IA
Investment Adviser
B
Broker
SMITH MOORE & CO.CRD#: 3441 401 S BANKER ST
SUITE E
EFFINGHAM, IL 62401
Registration History
19952000200520102015202020252 FIRMS2008 - 2009 (1 year)2 FIRMS2009 - Present (15 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)1999 - 2008 (9 years)BRAYMOND JAMES FINANCIAL SERVIC... (CRD# 6694)1999 - 1999 (<1 year)BROBERT THOMAS SECURITIES, INC (CRD# 10147)1995 - 1999 (3 years)BWILMINGTON SECURITIES, INC. (CRD# 19621)1993 - 1995 (1 year)IAA. G. EDWARDS & SONS, INC. (CRD# 4)2000 - 2008 (7 years)
License(s)

State Registrations

B
Alabama 1/28/2016
B
Michigan 4/30/2014
B
Arkansas 9/8/2022
B
Missouri 7/31/2009
B
Colorado 6/6/2019
B
New Jersey 7/31/2009
B
Florida 7/31/2009
B
North Dakota 1/10/2024
B
Idaho 10/29/2020
B
Ohio 6/15/2015
B
Illinois 7/31/2009
B
South Carolina 5/3/2011
IA
Illinois 8/10/2009
B
Tennessee 1/15/2019
B
Indiana 3/29/2011
B
Texas 3/25/2021
B
Iowa 3/7/2022
B
Virginia 7/31/2009
B
Kentucky 6/18/2012

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
SMITH MOORE & CO. (CRD#:3441)
401 S BANKER ST SUITE E, EFFINGHAM, IL 62401
Registered with this firm since 8/10/2009
B
SMITH, MOORE & CO. (CRD#:3441)
401 S BANKER ST SUITE E, EFFINGHAM, IL 62401
Registered with this firm since 7/31/2009
Previous Registration(s)
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IA
 01/01/2008 - 08/11/2009 WELLS FARGO ADVISORS, LLC (CRD#:19616) EFFINGHAM, IL
B
 01/01/2008 - 08/11/2009 WELLS FARGO ADVISORS, LLC (CRD#:19616) EFFINGHAM, IL
B
 01/22/1999 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) EFFINGHAM, IL
IA
 12/22/2000 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) EFFINGHAM, IL
B
 01/04/1999 - 02/10/1999 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) ST. PETERSBURG, FL
B
 07/21/1995 - 01/04/1999 ROBERT THOMAS SECURITIES, INC (CRD#:10147) ST. PETERSBURG, FL
B
 09/29/1993 - 08/23/1995 WILMINGTON SECURITIES, INC. (CRD#:19621)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.