Keith V. Schmidt

DESSONVILLE FINANCIAL GROUP

Omaha, NE

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CRD#: 1128840

Professional summary

Keith Vaughn Schmidt, CFP®, who also goes by Keith V Schmidt, is a registered financial advisor currently at DESSONVILLE FINANCIAL GROUP INCORPORATED located in Omaha, Nebraska.

Keith is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Keith has worked at 4 firms and has passed the Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Keith V Schmidt

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

KEITH DOES BUSINESS AS THE BENEFITS CONSULTING GROUP, WHICH IS AN INVESTMENT-RELATED BUSINESS. KEITH IS AN INSURANCE AGENT WHO HELPS EMPLOYERS SELECT EMPLOYEE BENEFITS, INCLUDING GROUP MEDICAL INSURANCE AND 401(K)'S, AND INDIVIDUALS SELECT INSURANCE POLICIES. KEITH HAS DONE BUSINESS AS THE BENEFITS CONSULTING GROUP SINCE 1991. THE ADDRESS OF THE BUSINESS IS 1211 N. 159th, OMAHA, NE 68118. THE NUMBER OF HOURS DEVOTED TO THE BUSINESS VARIES WITH WORK DEMANDS, BUT AVERAGES LESS THAN 5 HOURS PER WEEK AND MAY COINCIDE WITH SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Vaughn Schmidt's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1986

Experience

Current

April 19, 1994 - Present

DESSONVILLE FINANCIAL GROUP INCORPORATED

RIA

CRD#: 118132

Omaha, NE

Past

February 1, 1999 - January 31, 2001

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

January 6, 1995 - January 31, 1997

KEOGLER, MORGAN & COMPANY, INC.

CRD#: 16546

ATLANTA, GA

Past

June 21, 1983 - December 31, 1994

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Iowa
(8/21/2014)

IAR

Nebraska
(4/19/1994)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 6/20/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/17/1983

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/20/1983

Investment Company Products/Variable Contracts Representative Examination

Current Firm

DESSONVILLE FINANCIAL GROUP INCORPORATED

CRD#: 118132 / SEC#:

Iowa

Registered Investment Advisory firm - (8/21/2014 Approved)

Nebraska

Registered Investment Advisory firm - (4/19/1994 Approved)

Oklahoma

Registered Investment Advisory firm - (12/7/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Omaha, NE

Mailing Address

Phone number

(402) 210-2620

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	166
AUM (Assets Under Management)	$ 75,307,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Keith V. Schmidt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Vaughn Schmidt's CRS (Customer Relationship Summary).

Certified licenses

Experience

DESSONVILLE FINANCIAL GROUP INCORPORATED

PRINCIPAL SECURITIES, INC.

KEOGLER, MORGAN & COMPANY, INC.

NEW ENGLAND SECURITIES

State Registrations and Notice Filings

Exams

Series 63

Date: 6/20/1983

Series 7

Date: 12/17/1983

Series 6

Date: 6/20/1983

Current Firm

DESSONVILLE FINANCIAL GROUP INCORPORATED

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DESSONVILLE FINANCIAL GROUP INCORPORATED

TRUST BUT VERIFY

Contact information

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