Will Schmitt in

Will Schmitt

Login to view DISC.
General Counsel at Prospera Financial
📍 Dallas, Texas, United States

Will Schmitt serves as General Counsel at Prospera Financial, leading the firms litigation, regulatory affairs, and corporate governance. His expertise is in Broker-Dealer and Registered Investment Advisor matters. He is a graduate of the Securities Industry Institute at The Wharton School and a FINRA Certified Regulatory and Compliance Professional.

He has successfully managed and completed multiple broker-dealer and RIA acquisitions.

Read the full overview →
Experience
17 Years
Current Role
General Counsel
Job Level
Leadership
Location
Dallas, Texas, United States
Personality Overview

How Will shows up

Communication Style
Decision Approach
Work Preference

Behavioral traits and communication patterns that shape how this person evaluates opportunities, builds trust, and makes decisions in professional settings.

Login to view personality overview.
Priorities

Topics Will cares about

RIA Acquisitions
His role involves managing and completing multiple acquisitions of broker-dealer and Registered Investment Advisor (RIA) firms.
Broker-Dealer Regulation
As General Counsel, he has extensive experience in regulatory affairs, litigation, and compliance for financial services firms.
+4 more topics Login to view topics
Career

Work history

3-2016
General Counsel
Prospera Financial
6-2014 - 3-2016
Managing Partner
Faulkner Partners LLC
4-2012 - 6-2014
First Vice President - Associate Corporate Counsel
Raymond James Financial Inc.
10-2008 - 4-2012
First Vice President - Associate Counsel
Morgan Keegan
In the press

Media appearances

Will Schmitt - Prospera Financial Services. Featured in Prospera Financial
See now
Education
3-2023 - 3-2025
Securities Industry Institute
The Wharton School
2018 - 2019
FINRA Certified Regulatory and Compliance Professional
Georgetown University McDonough School of Business
Social presence
in
Behavioral profile

DISC profile (public)

DISC behavioral profile

Dominance, influence, steadiness, and calculativeness scores with guidance on how this person prefers to communicate and decide.

Login to view DISC.

More profiles

Discover additional public profiles from our index.

Garima Pandey
Garima Pandey
People Partner - South Asia | Sainsburys' Argos Asia Limited
Sainsbury's
DK
Dinesh Koka
Talent Acquisition Specialist
LTIMindtree
 Vibhavari Bali
Vibhavari Bali
Chief Human Resource Officer
Modi Auto Group
LP
Laura P.
SVP, Transformation and Change
BBC Studios
Unlock the full playbookSee exactly how to sell to Will. Free, 10 seconds.