Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
JAMES FRANCIS SCHNIEDERS
JIM F SCHNIEDERS, JIM SCHNIEDERS
CRD#: 2751181
IA
Investment Adviser
SCHNIEDERS CAPITAL MANAGEMENT, LLC.CRD#: 120952 200 SOUTH LOS ROBLES AVENUE
SUITE 510
PASADENA, CA 91101
Registration History
2002200420062008201020122014201620182020202220242026IASCHNIEDERS CAPITAL MANAGEMENT,... (CRD# 120952)2002 - Present (22 years)IAINDEPENDENCE CAPITAL MANAGEMEN... (CRD# 133540)2005 - 2006 (1 year)
License(s)

State Registrations

IA
California 6/10/2002
IA
Texas 12/21/2017
Current Registration(s)
IA
SCHNIEDERS CAPITAL MANAGEMENT, LLC. (CRD#:120952)
200 SOUTH LOS ROBLES AVENUE SUITE 510, PASADENA, CA 91101
Registered with this firm since 6/10/2002
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/03/2005 - 12/31/2006 INDEPENDENCE CAPITAL MANAGEMENT, LLC (CRD#:133540) PASADENA, CA
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.