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JAMES MICHAEL SCHMIDT
JAMES M SCHMIDT
CRD#: 3045311
IA
B
MORGAN STANLEYCRD#: 149777 380 Saint Peter Street
Suite 1000
St. Paul, MN 55102
Suite 1000
St. Paul, MN 55102
0
Disclosures
26
Years of Experience
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State Registrations
B
Arizona 8/18/2017
B
Nebraska 10/27/2023
B
California 11/17/2022
B
New York 8/30/2023
B
Colorado 8/18/2017
B
North Carolina 8/18/2017
B
Delaware 7/16/2020
B
North Dakota 4/30/2019
B
Florida 8/18/2017
B
Oklahoma 8/18/2017
B
Hawaii 3/13/2023
B
South Dakota 11/4/2020
B
Illinois 8/18/2017
B
Tennessee 8/18/2017
B
Kentucky 5/4/2021
B
Texas 3/3/2020
B
Maine 8/5/2024
IA
Texas 3/4/2020
B
Massachusetts 10/1/2024
B
Washington 8/18/2017
B
Minnesota 8/18/2017
B
Wisconsin 8/18/2017
IA
Minnesota 8/18/2017
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 8/18/2017
B
Registered with this firm since 8/18/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/10/2006 - 08/21/2017 | SAINT PAUL, MN | |
B | 01/26/2001 - 08/21/2017 | SAINT PAUL, MN | |
B | 05/21/1998 - 11/06/2000 | NEW YORK, NY |
SAINT PAUL, MN
02/10/2006 - 08/21/2017
SAINT PAUL, MN
01/26/2001 - 08/21/2017
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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.