Will Schmitt

Will Schmitt Email and Phone Number

General Counsel at Prospera Financial @ Prospera Financial
Will Schmitt's Location
Dallas, Texas, United States, United States
Will Schmitt's Contact Details

Will Schmitt personal email

About Will Schmitt

Experienced financial services general counsel with extensive Broker-Dealer and Registered Investment Advisor regulatory affairs, litigation, and compliance experience.

Will Schmitt's Current Company Details
Prospera Financial

Prospera Financial

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General Counsel at Prospera Financial
Will Schmitt Work Experience Details
  • Prospera Financial
    General Counsel
    Prospera Financial Mar 2016 - Present
    Dallas, Tx, Us
    Chief legal officer for the firm managing all litigation, regulatory affairs, and corporate governance. Successfully resolved SEC and FINRA enforcement actions and examinations.Favorably litigated or settled numerous customer related and recruiting arbitrations. Responsible for regulatory filings including the ADV and Form BD.Contract management for client, vendor, and independent contractor agreements. Risk management adviser to the Executive Team.
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  • Faulkner Partners Llc
    Managing Partner
    Faulkner Partners Llc Jun 2014 - Mar 2016
    Capital markets and strategic advisory services for energy, media, and green technology corporations.
  • Raymond James Financial Inc.
    First Vice President - Associate Corporate Counsel
    Raymond James Financial Inc. Apr 2012 - Jun 2014
    St. Petersburg, Florida, Us
    View
  • Morgan Keegan
    First Vice President - Associate Counsel
    Morgan Keegan Oct 2008 - Apr 2012

Will Schmitt Skills

Securities Regulation Securities Corporate Governance Mutual Funds Finra Securities Litigation Employment Law Restrictive Covenants Contract Law Uniform Combined State Law Alternative Investments Hedge Funds

Will Schmitt Education Details

  • The Wharton School
    The Wharton School
    Securities Industry Institute
  • Georgetown University Mcdonough School Of Business
    Georgetown University Mcdonough School Of Business
    Finra Certified Regulatory And Compliance Professional
  • University Of Mississippi School Of Law
    University Of Mississippi School Of Law
    Law
  • University Of Mississippi
    University Of Mississippi
    History And Political Science

Frequently Asked Questions about Will Schmitt

What company does Will Schmitt work for?

Will Schmitt works for Prospera Financial

What is Will Schmitt's role at the current company?

Will Schmitt's current role is General Counsel at Prospera Financial.

What is Will Schmitt's email address?

Will Schmitt's email address is wi****@****ial.com

What is Will Schmitt's direct phone number?

Will Schmitt's direct phone number is +197258*****

What schools did Will Schmitt attend?

Will Schmitt attended The Wharton School, Georgetown University Mcdonough School Of Business, University Of Mississippi School Of Law, University Of Mississippi.

What skills is Will Schmitt known for?

Will Schmitt has skills like Securities Regulation, Securities, Corporate Governance, Mutual Funds, Finra, Securities Litigation, Employment Law, Restrictive Covenants, Contract Law, Uniform Combined State Law, Alternative Investments, Hedge Funds.

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