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
Christopher Matthew Schmitt
Chris M Schmitt, Chris Schmitt
CRD#: 4852465
IA
Investment Adviser
B
Broker
EQUITABLE ADVISORS, LLCCRD#: 6627 5700 WILSHIRE BLVD
SUITE 120A
LOS ANGELES, CA 90036
Registration History
20172018201920202021202220232024202520262 FIRMS2024 - Present (<1 year)BU.S. BANCORP INVESTMENTS, INC. (CRD# 17868)2023 - 2024 (1 year)BUNIONBANC INVESTMENT SERVICES, LLC (CRD# 14455)2017 - 2023 (5 years)
License(s)

State Registrations

B
California 9/26/2024
B
Florida 12/2/2024
IA
California 11/1/2024

SRO Registrations

B
 FINRA

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
EQUITABLE ADVISORS, LLC (CRD#:6627)
5700 WILSHIRE BLVD SUITE 120A, LOS ANGELES, CA 90036
Registered with this firm since 11/1/2024
B
EQUITABLE ADVISORS, LLC (CRD#:6627)
5700 WILSHIRE BLVD SUITE 120A, LOS ANGELES, CA 90036
Registered with this firm since 9/26/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 05/26/2023 - 08/14/2024 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) Rancho Palos Verdes, CA
B
 10/02/2017 - 05/26/2023 UNIONBANC INVESTMENT SERVICES, LLC (CRD#:14455) RANCHO PALOS VERDES, 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.