Individual Firm
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KYLE MICHAEL SCHMIDT
CRD#: 6336124
IA
B
ESI FINANCIAL ADVISORSCRD#: 265 11039 BROADWAY
SUITE C
CROWN POINT, IN 46307
SUITE C
CROWN POINT, IN 46307
0
Disclosures
7
Years of Experience
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State Registrations
B
Alabama 4/25/2024
IA
Indiana 8/8/2018
B
California 8/20/2024
B
Iowa 8/2/2024
B
Florida 2/13/2025
B
Michigan 8/8/2018
B
Illinois 4/16/2020
B
Texas 1/22/2024
B
Indiana 8/8/2018
SRO Registrations
B
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IA
Registered with this firm since 8/8/2018
B
Registered with this firm since 8/8/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/13/2017 - 07/23/2018 | Merrillville, IN | |
B | 03/13/2017 - 07/23/2018 | Merrillville, IN |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.