James Schmidt has been an investment adviser representative at Tribeca Financial since March 2022, and is not listed among the firm’s executive officers or direct owners.
Tribeca Financial, LLC is a Mesa, AZ firm with $248M under management, 248 clients and 5 advisers across 3 offices, as of its March 2026 filing.
James Schmidt’s longest registration was 6 years at 1st Global Advisors Inc (2002–2008). Before joining Tribeca Financial in 2022, James Schmidt was registered through 1st Global Advisors Inc.
- Tribeca Financial, LLCCurrent– present · 4 yearsMesa, AZ · Adviser representative · Firm CRD 113245
- 1st Global Advisors Inc– · 6 yearsMesa, AZ · Adviser representative · Firm CRD 111133
Investment adviser representative registrations
James Schmidt is registered as an investment adviser representative in Arizona, since March 2022.
- ArizonaSince 15 March 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 23 October 2001 |
| Series 63 | Uniform Securities Agent State Law Examination | 10 February 2000 |
| Series 7 | General Securities Representative Examination | 27 January 2000 |
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- James Arthur Schmidt
- CRD
- 4054134
- Firm
- Tribeca Financial · CRD 113245
- Office
- 2812 N. NORWALK, STE 103, Mesa, AZ 85215
- Registration
- Investment adviser registration
- In the industry since
- July 2015
- Disciplinary history
- Not yet shown here · SEC record
Where does James Schmidt work?
James Schmidt is an investment adviser representative registered through Tribeca Financial, LLC since March 2022, and is not listed among the firm’s executive officers or direct owners.
Is James Schmidt a financial advisor?
Yes. James Schmidt has a current investment-adviser registration in Arizona, through Tribeca Financial since March 2022.
How many years of experience does James Schmidt have?
James Schmidt has 11 years in the financial industry, since July 2015, across 2 adviser firms.
What exams has James Schmidt passed?
James Schmidt has passed 3 licensing exams: the Series 7, Series 63 and Series 66. The earliest, the Series 7, was passed in January 2000.
Where did James Schmidt work before Tribeca Financial?
Before Tribeca Financial, James Schmidt was registered through 1st Global Advisors Inc, April 2002 to December 2008.
Where is James Schmidt based?
James Schmidt’s registered office is in Mesa, AZ.
Is James Schmidt registered with FINRA?
No. James Schmidt has no current broker registration.
How can I verify James Schmidt’s record?
Search CRD 4054134 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Schmidt’s full registration record.