DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Jo Laurie Schmeltzer
Feed of 09/14/2026
Also filed as Jo Laurie Schmeltzer
At current firm
1 y
since Nov 14, 2024
In the industry
31 y
since Jun 9, 1995 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Enterprise, LLC BD affiliated currentsince Nov 14, 2024 · San Jose, Ca
- Pruco Securities, LLC no RAUMJun 16, 2023 to Nov 14, 2024 · San Jose, Ca
- Cetera Investment Advisers LLC BD affiliatedDec 12, 2022 to Mar 20, 2023 · San Jose, Ca
- Planmember Securities Corporation independent RIAJul 27, 2021 to Dec 8, 2022 · Carpinteria, Ca
- E*Trade Capital Management, LLC formerJul 22, 2019 to Dec 16, 2019 · Arlington, Va
- Cue Financial Group, Inc. formerMay 22, 2013 to Dec 31, 2017 · Scottsdale, Az
- Woodbury Financial Services, Inc. formerOct 20, 2010 to May 24, 2011 · San Francisco, Ca
- Cuso Financial Services, L.P. formerMay 10, 2006 to Sep 24, 2010 · Fremont, Ca
Moves
a registration end followed by a registration begin elsewhere
- Pruco Securities, LLC to LPL Enterprise, LLCleft Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- Cetera Investment Advisers LLC to Pruco Securities, LLCleft Mar 20, 2023, registered Jun 16, 2023 (88 days) · Affiliated broker-dealer or bank to another
- Planmember Securities Corporation to Cetera Investment Advisers LLCleft Dec 8, 2022, registered Dec 12, 2022 (4 days) · RIA to affiliated broker-dealer or bank
- E*Trade Capital Management, LLC to Planmember Securities Corporationleft Dec 16, 2019, registered Jul 27, 2021 (589 days) · RIA to RIA
- Cue Financial Group, Inc. to E*Trade Capital Management, LLCleft Dec 31, 2017, registered Jul 22, 2019 (568 days) · Other
- Woodbury Financial Services, Inc. to Cue Financial Group, Inc.left May 24, 2011, registered May 22, 2013 (729 days) · Other
- Cuso Financial Services, L.P. to Woodbury Financial Services, Inc.left Sep 24, 2010, registered Oct 20, 2010 (26 days) · Other
Signals
- Jo Laurie Schmeltzer left Cetera Investment Advisers Llc for Pruco Securities, Llc (registered 2023-06-16)Mar 20, 2023 · Advisor changed firm · fact
- Jo Laurie Schmeltzer left Planmember Securities Corporation for Cetera Investment Advisers Llc (registered 2022-12-12)Dec 8, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address