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Kevin Michael Schmid

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Information

Firm:
Additional Firm:
Type: Dual Registration
Description

Kevin Schmid is a financial professional at Wells Fargo Advisors Financial Network, LLC, a broker-dealer with over 1,850 registered representatives nationwide. Kevin is also registered with Captrust Advisors, LLC, a $23M RIA based in Tampa, FL. Kevin has held an industry securities registration for 10 years and is subject to SEC and FINRA oversight.

Advisor Timeline

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Experience
EmployerYearsDates
Captrust Advisors 5 years, 2 months Jul 2009 - Present
Wells Fargo Advisors Financial Network, LLC (11025) 5 years, 2 months Jul 2009 - Present
Highmount Capital 3 years, 3 months Apr 2006 - Jul 2009
Aon Securities Corporation 6 years, 4 months Dec 1999 - Apr 2006
Exams
ExamSeriesPassed Date
General Securities Representative ExaminationSeries 7 02/01/2010
Investment Company Products/Variable Contracts Representative ExaminationSeries 6 03/23/2000
Uniform Securities Agent State Law ExaminationSeries 63 03/23/2000

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Kevin Michael Schmid has not answered any questions on Financial Q&A.

Top Guides

Kevin Michael Schmid has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses
High Net Worth Individuals
State or Municipal Government Entities
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
09/10/2014
08/06/2014
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees