Joseph Eugene Schmitz

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2023-03-14
CA	RA	APPROVED	2023-02-07

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
U.S. Bank	Redding	CA	01/2018	11/2022
U.S. Bancorp Investments, Inc.	Redding	CA	06/2020	11/2022
Round Table Pizza	Redding	CA	04/2013	09/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Redding	CA	11/2022	Present
Bank Of America, N.A.	Redding	CA	01/2023	Present

01/2018 → 11/2022

U.S. Bank

Redding, CA
06/2020 → 11/2022

U.S. Bancorp Investments, Inc.

Redding, CA
04/2013 → 09/2018

Round Table Pizza

Redding, CA
11/2022 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Redding, CA
01/2023 → Present

Bank Of America, N.A.

Redding, CA

Code	Exam	Date
S66	Uniform Combined State Law Examination	2023-02-05
S63	Uniform Securities Agent State Law Examination	2020-12-06