Unclaimed
Samuel Gordon Schmidt is a financial advisor with Wells Fargo Clearing Services, LLC in SALT LAKE CITY, UT. Samuel has over 24 years of experience in the financial services industry and is registered with the Financial Industry Regulatory Authority (FINRA) and the state of Utah. Samuel holds Series 7, 9, 10, 63, and SIE licenses. Samuel specializes in providing investment advice and portfolio management for individuals, businesses, and institutional clients.
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.
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.
Investment consulting services to institutional clients
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.
1
2
UT
01/03/2011 - Present
Wells Fargo Clearing Services, LLC (SALT LAKE CITY UT)
UT
05/07/2004 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (SALT LAKE CITY UT)
TX
03/11/2004 - 04/28/2004
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NY
11/01/2000 - 12/04/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
CA
12/21/1997 - 11/01/2000
MORGAN STANLEY DEAN WITTER ONLINE INC. (SAN FRANCISCO CA)
RI
04/14/1994 - 03/27/1996
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
BC
Issued 12/16/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/12/2010
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/10/2010
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/13/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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