Thomas Jerome Schmidt
Investment Adviser Representative at NEW YORK LIFE Investment Management LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Thomas Jerome Schmidt is an investment adviser representative with NEW YORK LIFE Investment Management LLC in Moraga, CA, where they have been registered since 2024. They have worked in the securities industry since 2007 and have been registered with 4 firms, including Putnam Investment Management, LLC and Cetera Advisor Networks LLC. They have passed 7 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 24 (general securities principal). They are registered to provide investment advice in California.
Registrations & licenses
- Investment adviser:
- California
- Broker:
7 states and territories
California, Georgia, Massachusetts, Nevada, New York, North Carolina, Pennsylvania
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- MBSC Securities CorporationFeb 2007 – Jun 2019New York, NY
- Cetera Advisor NetworksAug 2019 – Feb 2020El Segundo, CA
- Walnut Creek Wealth ManagementJul 2019 – Feb 2020Walnut Creek, CA
- Rock Harbor, LLCFeb 2020 – Mar 2022Bingham Farms, MI
- Foreside Fund Services, LLCMar 2020 – Feb 2022Bingham Farms, MI
- Putnam Investments/Putnam Retail ManagementFeb 2022 – Jan 2024Boston, MA
- New York Life InvestmentsApr 2024 – no end date reportedMoraga, CA
Official records & sources
Data as of June 26, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About NEW YORK LIFE Investment Management LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Fixed fee
- Firm account minimum
- $100,000 (waivable)
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 88
- Offices listed on AdvisorFinder:
- 1
- Main office:
- New York, NY
- SEC file number:
- 801-57396
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of March 30, 2026
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Thomas Jerome Schmidt has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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