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
MARK PHILIP SCHMIDT
CRD#: 3207680
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 27755 STANSBURY BLVD
STE 275
FARMINGTON HILLS, MI 48334
Registration History
200020022004200620082010201220142016201820202022202420263 FIRMS2009 - 2009 (<1 year)2 FIRMS2019 - Present (5 years)BMORGAN STANLEY (CRD# 149777)2009 - 2019 (10 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1999 - 2009 (9 years)IAMORGAN STANLEY (CRD# 149777)2010 - 2019 (9 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2001 - 2009 (7 years)
Disclosure(s)
View By:
9/20/2010
Customer Dispute
Settled
8/8/2003
Customer Dispute
Denied
10/18/1999
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 10/15/2019
B
Michigan 10/15/2019
B
California 10/15/2019
IA
Michigan 10/15/2019
B
Colorado 4/13/2022
B
Missouri 4/2/2021
B
Florida 10/15/2019
B
Montana 4/9/2021
B
Indiana 1/5/2022
B
Pennsylvania 10/15/2019
B
Maryland 11/9/2022
B
South Carolina 10/15/2019

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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
WELLS FARGO ADVISORS (CRD#:19616)
27755 STANSBURY BLVD STE 275, FARMINGTON HILLS, MI 48334
Registered with this firm since 10/15/2019
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
27755 STANSBURY BLVD STE 275, FARMINGTON HILLS, MI 48334
Registered with this firm since 10/15/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/20/2010 - 10/16/2019 MORGAN STANLEY (CRD#:149777) FARMINGTON HILLS, MI
B
 06/01/2009 - 10/16/2019 MORGAN STANLEY (CRD#:149777) FARMINGTON HILLS, MI
IA
 06/01/2009 - 12/31/2009 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) FARMINGTON HILLS, MI
IA
 01/30/2009 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) LIVONIA, MI
B
 01/30/2009 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) LIVONIA, MI
IA
 03/28/2001 - 02/11/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) FARMINGTON HILLS, MI
B
 06/01/1999 - 02/11/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) FARMINGTON HILLS, MI
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.