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Detailed Report
AMY DAWN SCHMITZ
AMY D SCHMITZ, AMY DAWN SPRADLING
CRD#: 5923039
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1401 FINANCIAL PARK
CARBONDALE, IL 62902
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2015 - Present (9 years)
Disclosure(s)
View By:
6/10/2024
Judgment / Lien
License(s)

State Registrations

B
Alabama 3/31/2021
B
New Hampshire 8/8/2016
B
Arizona 4/15/2016
B
New Jersey 4/15/2016
B
Arkansas 10/3/2023
B
New Mexico 9/30/2020
B
California 4/15/2016
B
New York 4/15/2016
B
Colorado 6/13/2016
B
North Carolina 4/18/2016
B
District of Columbia 9/12/2017
B
North Dakota 5/27/2020
B
Florida 4/15/2016
B
Ohio 4/18/2016
B
Georgia 8/7/2018
B
Oklahoma 4/15/2016
B
Idaho 4/15/2016
B
Oregon 4/15/2016
B
Illinois 12/28/2015
B
Pennsylvania 4/15/2016
IA
Illinois 12/28/2015
B
Rhode Island 6/29/2023
B
Indiana 4/15/2016
B
South Carolina 4/15/2016
B
Iowa 4/15/2016
B
Tennessee 4/15/2016
B
Kansas 4/15/2016
B
Texas 4/15/2016
B
Kentucky 4/15/2016
IA
Texas 4/15/2016
B
Louisiana 10/31/2017
B
Utah 9/19/2023
B
Maryland 4/15/2016
B
Vermont 6/4/2021
B
Massachusetts 4/15/2016
B
Virginia 4/15/2016
B
Michigan 7/3/2018
B
Washington 4/15/2016
B
Minnesota 4/15/2016
B
West Virginia 4/15/2016
B
Mississippi 4/25/2018
B
Wisconsin 4/15/2016
B
Missouri 4/15/2016
B
Wyoming 5/22/2018
B
Nebraska 6/23/2022

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American 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)
1401 FINANCIAL PARK, CARBONDALE, IL 62902
Registered with this firm since 12/28/2015
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1401 FINANCIAL PARK, CARBONDALE, IL 62902
Registered with this firm since 9/2/2015
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.