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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

Thomas Jerome Schmidt

Advisor at NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NEW YORK, NY | Moraga, CA

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Search this name across graphsid dfx:ria:4e51e3b3-bc25-99b4-00f2-44bd501e1c1f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Apr 10, 2007 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: NEW YORK LIFE INVESTMENT MANAGEMENT LLC
Current firm class: asset managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 1, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Feb 26, 2007
First registration: Apr 10, 2007
Dual registered: yes, broker-dealer
Other names: THOMAS JEROME SCHMIDT|Thomas Schmidt
IAPD individual key: 5272996

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
NEW YORK LIFE INVESTMENT MANAGEMENT LLC	Asset manager	Apr 17, 2024	n/a	yes	Moraga, CA\|NEW YORK, NY	Current employment
PUTNAM INVESTMENT MANAGEMENT, LLC	Asset manager	Apr 12, 2022	Jan 24, 2024	no	BOSTON, MA	Previous registration
CETERA ADVISOR NETWORKS LLC	Former SEC adviser	Aug 2, 2019	Feb 21, 2020	no	WALNUT CREEK, CA	Previous registration
BNY MELLON SECURITIES CORPORATION	Other adviser	Apr 10, 2007	Jun 7, 2019	no	SCOTTSDALE, AZ\|REDLANDS, CA\|DANVILLE, CA\|Danville, CA\|LOS ANGELES, CA\|New York, NY\|New York, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PUTNAM INVESTMENT MANAGEMENT, LLC	NEW YORK LIFE INVESTMENT MANAGEMENT LLC	Jan 24, 2024	Apr 17, 2024	84	Firm change	Other
CETERA ADVISOR NETWORKS LLC	PUTNAM INVESTMENT MANAGEMENT, LLC	Feb 21, 2020	Apr 12, 2022	781	Firm change after gap	Other
BNY MELLON SECURITIES CORPORATION	CETERA ADVISOR NETWORKS LLC	Jun 7, 2019	Aug 2, 2019	56	Firm change	Ibd to ibd

Relationships

Registered with (4)

→ NEW YORK LIFE INVESTMENT MANAGEMENT LLCRegistered adviserregistration: current employment
Apr 17, 2024 to presentfactForm ADV
→ PUTNAM INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Apr 12, 2022 to Jan 24, 2024factForm ADV
→ CETERA ADVISOR NETWORKS LLCRegistered adviserregistration: previous registration
Aug 2, 2019 to Feb 21, 2020factForm ADV
→ BNY MELLON SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Apr 10, 2007 to Jun 7, 2019factForm ADV

Dated events

Occurred
Jan 24, 2024
Advisor changed firm
Thomas Jerome Schmidt left Putnam Investment Management, Llc for New York Life Investment Management Llc (registered 2024-04-17)
Form ADVobserved 5 days ago