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JON SCHMAUSS
CRD#: 413806
IA
B
MORGAN STANLEYCRD#: 149777 6037 LA FLECHA
SUITE 200
RANCHO SANTA FE, CA 92067
SUITE 200
RANCHO SANTA FE, CA 92067
0
Disclosures
57
Years of Experience
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State Registrations
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Alabama 6/27/2023
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Nebraska 6/27/2023
B
Alaska 6/27/2023
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Nevada 6/1/2009
B
Arizona 6/1/2009
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New Hampshire 6/27/2023
B
Arkansas 8/1/2018
B
New Jersey 6/1/2009
B
California 6/1/2009
B
New Mexico 6/1/2009
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California 6/1/2009
B
New York 6/1/2009
B
Colorado 6/1/2009
B
North Carolina 10/26/2009
B
Connecticut 6/1/2009
B
North Dakota 6/27/2023
B
Delaware 2/1/2022
B
Ohio 11/24/2014
B
District of Columbia 6/1/2009
B
Oklahoma 6/27/2023
B
Florida 6/1/2009
B
Oregon 6/1/2009
B
Georgia 3/3/2022
B
Pennsylvania 6/1/2009
B
Hawaii 6/1/2009
B
Puerto Rico 6/27/2023
B
Idaho 6/1/2009
B
Rhode Island 6/27/2023
B
Illinois 6/1/2009
B
South Carolina 4/9/2015
B
Indiana 6/19/2017
B
South Dakota 6/27/2023
B
Iowa 6/27/2023
B
Tennessee 4/9/2015
B
Kansas 11/24/2020
B
Texas 1/9/2017
B
Kentucky 6/1/2009
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Texas 3/3/2020
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Louisiana 6/27/2023
B
Utah 6/1/2009
B
Maine 6/27/2023
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Vermont 6/27/2023
B
Maryland 6/1/2009
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Virgin Islands 6/27/2023
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Massachusetts 6/1/2009
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Virginia 6/1/2009
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Michigan 6/1/2009
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Washington 6/1/2009
B
Minnesota 9/27/2018
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West Virginia 6/27/2023
B
Mississippi 6/27/2023
B
Wisconsin 6/27/2023
B
Missouri 6/1/2009
B
Wyoming 6/7/2018
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Montana 6/27/2023
SRO Registrations
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IA
Registered with this firm since 6/1/2009
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Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/08/1997 - 06/01/2009 | RANCHO SANTA FE, CA | |
B | 07/31/1993 - 06/01/2009 | RANCHO SANTA FE, CA | |
B | 11/22/1977 - 07/31/1993 | NEW YORK, NY | |
B | 11/17/1976 - 11/22/1977 | ||
B | 11/08/1974 - 11/17/1976 | ||
B | 01/17/1968 - 11/08/1974 |
11/17/1976 - 11/22/1977
11/08/1974 - 11/17/1976
01/17/1968 - 11/08/1974
For additional information about investment advisers or broker-dealers, please visit
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.
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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.