Leonard G Schmidt

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2024-07-22
RI	RA	APPROVED	2016-09-27
TX	RA	APPROVED_RES	2013-07-02
CA	RA	APPROVED	2008-06-19

CT RA
APPROVED

Since 2024-07-22
RI RA
APPROVED

Since 2016-09-27
TX RA
APPROVED_RES

Since 2013-07-02
CA RA
APPROVED

Since 2008-06-19

Branch Locations

45 William St, Wellesley Hills, MA 02481 • United States

Norwood, MA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691	Wellesley Hills	MA	06/2008	Present
Bank Of America, Na	Wellesley	MA	12/2009	Present

06/2008 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691

Wellesley Hills, MA
12/2009 → Present

Bank Of America, Na

Wellesley, MA

Previous Registrations

2007-04-02 → 2008-06-19

Morgan Stanley & Co. Llc

Norwell, MA
2007-03-07 → 2007-04-02

Morgan Stanley Dw Inc.

Norwell, MA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2002-01-29
S63	Uniform Securities Agent State Law Examination	1989-03-28

S65 Uniform Investment Adviser Law Examination

2002-01-29
S63 Uniform Securities Agent State Law Examination

1989-03-28

Other Names

Leonard George Schmidt
Leonard G Schmidt Jr
Leonard G Schmidt
Leonard G Schmidt Jr.
Len Schmidt

View on SEC IAPD

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

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