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Richard C. Schmidt
Richard C Schmidt, Richard Cole Schmidt, Richard Schmidt
CRD#: 6633090
IA
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J.P. MORGAN SECURITIES LLCCRD#: 79 1350 BOSTON POST ROAD
LARCHMONT, NY 10538
LARCHMONT, NY 10538
0
Disclosures
8
Years of Experience
View By:
State Registrations
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Connecticut 3/26/2025
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North Carolina 3/26/2025
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New Jersey 3/26/2025
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Texas 3/26/2025
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New York 3/26/2025
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Texas 3/26/2025
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New York 3/26/2025
SRO Registrations
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View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 3/26/2025
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Registered with this firm since 3/26/2025
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/27/2022 - 04/09/2025 | Greenwich, CT | |
B | 01/26/2022 - 04/09/2025 | Greenwich, CT | |
IA | 03/02/2021 - 03/07/2022 | Greenwich, CT | |
IA | 03/02/2021 - 03/07/2022 | Greenwich, CT | |
B | 02/24/2021 - 03/07/2022 | Burlington, MA | |
IA | 02/27/2018 - 01/11/2021 | PORTSMOUTH, NH | |
B | 02/26/2018 - 01/11/2021 | PORTSMOUTH, NH | |
IA | 02/26/2018 - 12/31/2020 | PORTSMOUTH, NH | |
IA | 03/15/2017 - 02/26/2018 | SAINT LOUIS, MO | |
B | 07/08/2016 - 02/26/2018 | BURLINGTON, MA |
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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.
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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.