MS
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Mark Schmidt
27 Years of Experience
Riviera Beach, FL
3 DisclosuresBroker
Mark Schmidt is a registered investment advisor at Wells Fargo Advisors, based in Riviera Beach, FL, with 27 years of industry experience. Mark is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Divorce Planning, Education Planning, Financial Planning & Coaching, and 2 more. Their firm serves 1,324,168 clients with $670B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
14699 advisors
IM Fee
Planning only
Assets Under Management
$671.4B
Fee Structure
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
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Location
Riviera Beach, FL
Get directionsHistory
Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
September 2010Settled
Customer Dispute
August 2003Denied
Customer Dispute
October 1999Denied
Employment History
Current Registrations
Wells Fargo Clearing Services, LLCBroker
October 2019 - Present · 7 yrs
Wells Fargo Advisors
October 2019 - Present · 7 yrs
Previous Registrations
Morgan Stanley
May 2010 - October 2019 · 9 yrs 5 mos
Morgan StanleyBroker
June 2009 - October 2019 · 10 yrs 4 mos
Morgan Stanley Smith Barney LLC
June 2009 - December 2009 · 6 mos
Morgan Stanley & CO. Incorporated
January 2009 - June 2009 · 5 mos
Morgan Stanley & CO. IncorporatedBroker
January 2009 - June 2009 · 5 mos
UBS Financial Services INC.
March 2001 - February 2009 · 7 yrs 11 mos
UBS Financial Services INC.Broker
June 1999 - February 2009 · 9 yrs 8 mos
State Registrations12 states
AZCACOFLINMDMIMOMTPASCTX
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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