Individual Firm
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Christopher Schmidt
CHRIS SCHMIDT, CHRISTOPHER RONALD SCHMIDT, CHRISTOPHER SCHMIDT
CRD#: 4708549
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J.P. MORGAN SECURITIES LLCCRD#: 79 2000 S. COLLEGE AVENUE
FORT COLLINS, CO 80525
FORT COLLINS, CO 80525
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2/3/2009
Customer Dispute
Denied
State Registrations
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Alabama 4/6/2016
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Nebraska 10/10/2016
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Arizona 10/1/2012
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Nevada 10/1/2012
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California 10/1/2012
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New Hampshire 1/29/2020
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Colorado 10/1/2012
B
New Mexico 2/1/2018
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Colorado 10/1/2012
B
New York 10/1/2012
B
Delaware 8/17/2020
B
North Carolina 4/25/2016
B
Florida 10/1/2012
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Ohio 10/1/2012
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Georgia 10/1/2012
B
Oregon 2/28/2013
B
Hawaii 8/12/2024
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Pennsylvania 11/10/2020
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Idaho 4/6/2016
B
South Carolina 10/1/2012
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Illinois 10/1/2012
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South Dakota 4/6/2016
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Illinois 10/1/2012
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Tennessee 4/6/2016
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Indiana 4/6/2016
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Texas 10/1/2012
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Iowa 3/13/2013
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Texas 9/23/2013
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Kansas 10/1/2012
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Utah 4/6/2016
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Maryland 4/27/2020
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Virginia 10/1/2012
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Michigan 10/1/2012
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Washington 10/1/2012
B
Missouri 10/1/2012
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Wisconsin 10/1/2012
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Montana 4/6/2016
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Wyoming 10/1/2012
SRO Registrations
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View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
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Registered with this firm since 10/1/2012
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Registered with this firm since 10/1/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/16/2010 - 10/01/2012 | LOVELAND, CO | |
B | 04/16/2010 - 10/01/2012 | LOVELAND, CO | |
IA | 07/31/2007 - 03/30/2010 | GREELEY, CO | |
B | 07/30/2007 - 03/30/2010 | GREELEY, CO | |
IA | 07/06/2005 - 07/20/2007 | LAFAYETTE, CO | |
B | 07/06/2005 - 07/20/2007 | LAFAYETTE, CO | |
IA | 04/21/2005 - 07/06/2005 | LAFAYETTE, CO | |
B | 04/21/2005 - 07/06/2005 | CHICAGO, IL | |
IA | 01/15/2004 - 02/08/2005 | TOLEDO, OH | |
B | 11/26/2003 - 02/08/2005 | WEEHAWKEN, NJ |
For additional information about investment advisers or broker-dealers, please visit
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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.