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MARC CHRISTIAN SCHMITZ
MARC CHRIS SCHMITZ
CRD#: 2474613
IA
B
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCCRD#: 149018 208 WEST CAPITOL AVENUE
PIERRE, SD 57501
PIERRE, SD 57501
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 208 W. CAPITOL AVENUE
PIERRE, SD 57501
PIERRE, SD 57501
View By:
7/27/2017
Customer Dispute
Settled
State Registrations
B
Arizona 1/4/1999
B
New Mexico 1/8/2025
B
California 1/4/1999
B
New York 2/24/2021
B
Colorado 7/16/2018
B
North Dakota 1/4/2010
B
Florida 2/23/2006
B
Ohio 7/25/2011
B
Illinois 1/25/1999
B
Oregon 7/27/2012
B
Iowa 10/23/2020
B
South Dakota 1/4/1999
B
Kansas 8/16/2024
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South Dakota 1/30/2012
B
Louisiana 5/15/2024
B
Texas 3/4/2013
B
Minnesota 1/4/1999
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Texas 8/11/2016
B
Mississippi 10/20/2021
B
Virginia 1/3/2008
B
Missouri 1/7/2010
B
Wisconsin 4/8/2004
B
Nebraska 1/4/2011
B
Wyoming 1/8/2025
SRO Registrations
B
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IA
Registered with this firm since 1/30/2012
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Registered with this firm since 1/4/1999
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 07/02/1998 - 01/04/1999 | ST. PETERSBURG, FL | |
B | 07/05/1995 - 07/02/1998 | MINNEAPOLIS, MN | |
B | 05/16/1994 - 06/30/1995 | ST. CLOUD, MN |
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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.
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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.