Clifford Leigh Schmidt

Current Employers

Employment History

• 06/2009 → 08/2018
  Morgan Stanley Smith Barney
  San Diego, CA
• 01/2015 → 08/2018
  Morgan Stanley Private Bank, National Association
  New York, NY
• 09/2007 → Present
  Foundation Associates Asset Management
  San Diego, CA

Previous Registrations

• 2009-06-01 → 2018-08-06
  Morgan Stanley
  San Diego, CA
  San Diego, CA
• 1997-07-08 → 2009-06-01
  Citigroup Global Markets Inc.
  San Diego, CA
  San Diego, CA

Other Businesses

1. SOLE SHAREHOLDER OF FOUNDATION ASSOCIATES ASSET MANAGEMENT INC.; CALIFORNIA; REGISTERED WITH THE COMMODITY FUTURES TRADING COMMISSION ("CFTC") AS AN ASSOCIATED PERSON OF FOUNDATION ASSOCIATES. FOUNDATION ASSOCIATES IS A CALIFORNIA CORPORATION AND AS A COMMODITY TRADING ADVISOR. IT IS THE COMMODITY TRADING ADVISER TO VARIOUS SEPARATELY MANAGED FUTURES ACCOUNTS. CLIENTS PAY FOUNDATION ASSOCIATES AN ASSET-BASED INVESTMENT MANAGEMENT FEE AND INCENTIVE COMPENSATION. MORGAN STANLEY SMITH BARNEY EARNS COMMISSIONS FROM TRADES MADE BY FOUNDATION ASSOCIATES. DEPENDING ON THE RELATIVE COMPENSATION HE WILL RECEIVE FROM MORGAN STANLEY SMITH BARNEY FOR RECOMMENDING ONE OF ITS INVESTMENT PRODUCTS, OR FROM A FOUNDATION ASSOCIATES SEPARATELY MANAGED FUTURES ACCOUNT, MR. SCHMIDT HAS AN INCENTIVE TO RECOMMEND TO CLIENTS EITHER AN INVESTMENT PRODUCT AVAILABLE AT MORGAN STANLEY SMITH BARNEY OR A FOUNDATION ASSOCIATES SEPARATELY MANAGED FUTURES ACCOUNT. MORGAN STANLEY SMITH BARNEY ADDRESSES THIS CONFLICT OF INTEREST BY DISCLOSING IT TO CLIENTS. 0 AFTER BUSINESS HOURS; 100 DURING BUSINESS HOURS. 2007** 2. SAN DIEGO HIGH SCHOOL FOUNDATION; TREASURER OF THE ADVISORY BOARD OF THE ACADEMY OF FINANCE; PAY CHECKS THAT FUND THE PROGRAMS OUR BOARD PROVIDES, MAKE DEPOSITS WHEN NECESSARY, AND REPORT ACCOUNT STATUS TO THE BOARD AT OUR MONTHLY MEETINGS; 4 HOURS DURING BUSINESS; 1 HOUR AFTER BUSINESS; 09/1999 3. Rental Property; Investment related; La Quinta, CA; Rental Property; Sole Proprietor / Owner / Partner; Dec/2017; During business hours: 0; After business hours: 0; FA will handle rental agreements and collection 4.Foundation Associates Asset Management Inc; Investment related - Yes; San Diego; Private Company; CEO (proprietor, partner, officer, director, employee, trustee, agent); During business hours: 100; After business hours: 0; Commodities trading advisor managing commodity accounts

Exams

• S65 Uniform Investment Adviser Law Examination
  2021-08-17
• S63 Uniform Securities Agent State Law Examination
  1989-10-11