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Joseph Schmuckler

Chief Executive Officer (CSPF) at Cary Street Partners Investment Advisory

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
6
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Joseph Schmuckler is Chief Executive Officer (CSPF) of Cary Street Partners Investment Advisory LLC, a Richmond investment adviser managing $10.3B. Joseph Schmuckler has a current broker registration and no current investment-adviser registration and has passed 6 licensing exams.

Role at Cary Street Partners Investment Advisory

Title on Schedule A
Chief Executive Officer (CSPF)
Control
Joseph Schmuckler is a control person of Cary Street Partners Investment Advisory.
Ownership
An individual ownership band is not available in the source record.
Tenure
Joseph Schmuckler has held the filed role since July 2015.

The firm

Cary Street Partners Investment Advisory LLC
Richmond, VA

Form ADV filed 30 March 2026

$10.3B AUM6,988 clients85 advisers21 offices

Career on record

Firms and exams, newest first
  1. Passed SIE · 2018
  2. Passed Series 4 and Series 24 · 1991
  3. Passed Series 63 · 1990
  4. Passed Series 7 · 1987
  5. Passed Series 3 · 1982

Registrations and exams

Broker registration; no current adviser registration. Joseph Schmuckler has passed 6 qualifying exams.

Examinations

Series 6324 September 1990
Name
Uniform Securities Agent State Law Examination
Series 241 November 1991
Name
General Securities Principal Examination
Series 421 May 1991
Name
Registered Options Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 719 September 1987
Name
General Securities Representative Examination
Series 313 October 1982
Name
National Commodity Futures Examination

Individual record

Full name
Joseph Redmond Schmuckler
CRD
1156472
Firm
Cary Street Partners Investment Advisory LLC
Registration status
Broker registration; no current adviser registration
Firm bio
carystreetpartners.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

Joseph Schmuckler is the firm’s chief executive officer and managing director; the biography says he is responsible for developing and executing the firm’s business strategy. Official firm biography

Education

Common questions

Where does Joseph Schmuckler work?

Joseph Schmuckler has been Chief Executive Officer (CSPF) of Cary Street Partners Investment Advisory LLC since July 2015, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 30 March 2026

Does Joseph Schmuckler have a current investment-adviser registration?

Joseph Schmuckler has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Joseph Schmuckler passed?

Joseph Schmuckler has passed 6 licensing exams: the Series 3, Series 7, Series 63, Series 4, Series 24 and SIE. The earliest, the Series 3, was passed in October 1982.

Source: IAPD individual record, checked 17 October 2026

Leadership at Cary Street Partners Investment Advisory

  • Walter Bayne
    President, Managing Director
  • Kevin Mitchell
    Chief Financial Officer, Director
  • Wesley Gallup
    Chief Operating Officer, Managing Director
  • Nancy Oliver
    Chief Compliance Officer, Director
  • Matthew Rubin
    Chief Investment Officer, Managing Director
  • Thomas Tullidge
    Secretary/Treasurer, Managing Director; Chief Strategy Officer, Legal and Finance (CSPF)

Sources

  1. IAPD individual record, CRD 1156472. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Cary Street Partners Investment Advisory LLC, filed 30 March 2026. Title, control and ownership bands.
  3. Cary Street Partners Investment Advisory team page. Biography, education, credentials, awards.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Joseph Schmuckler or Cary Street Partners Investment Advisory LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.