Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Schmidt is a financial advisor currently working at Stifel, Nicolaus & Company, Inc. He has been in the industry since March 19, 1985, and holds various licenses and registrations including Series 3, 7, and 63 and has passed the SIE exam. Thomas has experience with several financial institutions including Wells Fargo Advisors, LLC, Citigroup Global Markets Inc., and Lehman Brothers Inc. His current registrations include Series 65 and 63 and is registered in multiple states. The firm manages more than $149 billion in assets, providing financial services to a diverse clientele, including high-net-worth individuals, corporations, and charitable organizations. Thomas's expertise allows him to provide a comprehensive range of financial services, including financial planning, pension consulting, and portfolio management for businesses and individuals.
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.
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
MO
09/15/2016 - Present
Stifel, Nicolaus & Company, Inc. (ST LOUIS MO)
MO
04/22/2005 - 09/20/2016
WELLS FARGO ADVISORS, LLC (CHESTERFIELD MO)
NY
07/31/1993 - 05/20/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
03/20/1985 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 05/10/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/25/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/22/1985
Series 3 - National Commodity Futures Examination
BC
Issued 03/16/1985
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX 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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