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JOHN PATRICK SCHMIDT
CRD#: 2669771
IA
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MONEY CONCEPTS ADVISORY SERVICECRD#: 12963 323 TOWNEPARK CIRCLE
LOUISVILLE, KY 40243
LOUISVILLE, KY 40243
0
Disclosures
25
Years of Experience
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State Registrations
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Kentucky 9/16/2015
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Kentucky 9/16/2015
SRO Registrations
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Registered with this firm since 9/16/2015
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Registered with this firm since 9/16/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/03/2010 - 09/14/2015 | LOUISVILLE, KY | |
B | 11/17/2010 - 09/14/2015 | NEW ALBANY, IN | |
IA | 01/19/2010 - 07/14/2010 | LOUISVILLE, KY | |
B | 01/19/2010 - 07/14/2010 | LOUISVILLE, KY | |
IA | 08/06/2009 - 12/31/2009 | LOUISVILLE, KY | |
B | 01/07/2008 - 12/31/2009 | NEW ALBANY, IN | |
IA | 01/04/2007 - 12/21/2007 | LOUISVILLE, KY | |
B | 01/04/2007 - 12/21/2007 | LOUISVILLE, KY | |
IA | 08/15/2003 - 01/09/2007 | LOUISVILLE, KY | |
B | 04/01/1999 - 01/09/2007 | LOUISVILLE, KY | |
B | 01/15/1999 - 03/29/1999 | NEW YORK, NY |
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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.