Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Arthur Schmidt is a financial advisor who has been working in the industry since 1984. James is a Registered Representative and Investment Advisor Representative with Raymond James Financial Services Advisors, Inc. James has been with Raymond James since 2011. Previously, James worked for Wells Fargo Advisors, LLC, First Union Capital Markets Corp, Prudential Securities Incorporated and Shearson Lehman Hutton Inc. James holds Series 7, 9, 10, 63, 65, 99 and SIE licenses. James specializes in providing financial planning and investment advice to individuals, businesses, and institutions. James is also an owner of a wealth management financial services LLC.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Hourly & fixed rate consultations
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Per participant (erisa)
1
2
VA
06/30/2021 - Present
Raymond James Financial Services Advisors, Inc. (Henrico VA)
VA
12/02/2011 - 07/09/2021
RAYMOND JAMES & ASSOCIATES, INC. (RICHMOND VA)
VA
10/01/1999 - 12/05/2011
WELLS FARGO ADVISORS, LLC (RICHMOND VA)
NC
04/14/1998 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
NY
10/20/1989 - 03/26/1998
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
04/11/1988 - 11/06/1989
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
NA
07/26/1984 - 04/11/1988
E. F. HUTTON & COMPANY INC
IA
Issued 12/29/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/02/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/23/2013
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/29/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/21/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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