Sanford A. Schmidt

CATALYST WEALTH MANAGEMENT

DEERFIELD, IL 60015

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CRD#: 1163559

Professional summary

Sanford Allen Schmidt, CFP®, who also goes by Sandy Schmidt, is a registered financial advisor currently at CATALYST WEALTH MANAGEMENT located in Deerfield, Illinois and THE LEADERS GROUP, INC. located in Summit, New Jersey.

Sanford is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Sanford has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sandy 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.

1. CATALYST WEALTH MANAGEMENT - 3/5/1993 - 520 Lake Cook Road, Suite 178, Deerfield, IL 60015 - Manager/President, Advise clients on investments, Invt Rel, Wealth management business, 20 hrs/mo; 20 hrs/mo (during trading hours). 2.) SAS INVESTMENT PARTNERS LLC - 4/1/2009 - 100 Laurel Avenue, Highland Park, IL 60035 - Managing director, Entity is for personal investments under overall estate planning, Invt rel, Financial business, 2 hrs/mo; 1 hr/mo (during trading hours). 3.) SCHMIDT FINANCIAL GROUP - 1/1/1983 - 520 Lake Cook Road, Suite 178, Deerfield, IL 60015 - Advisor, Advise and sell life insurance products within an overall financial and estate plan, Not Invt Rel, Insurance business, 140 hrs/mo; 140 hrs/mo (during trading hours). 4.) The Leaders Group Broker Dealer Registered Rep Since 03/2023 Investment related

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sanford Allen Schmidt's CRS (Customer Relationship Summary).

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: 1990

Experience

Current

November 30, 2016 - Present

CATALYST WEALTH MANAGEMENT

Office #1: 520 Lake Cood Rd Suite 178, Deerfield, IL 60015

RIA

CRD#: 8503

NEW YORK, NY

Past

December 2, 1993 - June 20, 1997

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

August 8, 1983 - May 12, 1993

NYLIFE SECURITIES LLC

CRD#: 5167

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

Florida
(10/31/2024)

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CATALYST WEALTH MANAGEMENT

CATALYST WEALTH MANAGEMENT | SCHMIDT ADVISORY SERVICES, INC.

CRD#: 283728 / SEC#: 801-120781

RIA

Registered Investment Advisory firm - (10/31/2024 Terminated)

Florida

Registered Investment Advisory firm - (10/31/2024 Approved)

Illinois

Registered Investment Advisory firm - (6/27/2024 Approved)

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

520 Lake Cood Rd Suite 178, Deerfield, IL 60015

Mailing Address

Phone number

(773) 774-2600

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	63
AUM (Assets Under Management)	$ 70,712,828

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.

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Advisor Monitoring

Firm Stability Insights

Sanford A. Schmidt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sanford Allen Schmidt's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE LEADERS GROUP, INC.

THE LEADERS GROUP, INC.

TLG ADVISORS, INC.

THE LEADERS GROUP, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

WORLD EQUITY GROUP, INC.

WORLD EQUITY GROUP, INC.

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

SCHMIDT ADVISORY SERVICES, INC.

NATHAN & LEWIS SECURITIES, INC.

OSAIC WEALTH, INC.

NYLIFE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/1/2010

Series 63

Date: 9/3/1991

SIE

Date: 10/1/2018

Series 22

Date: 3/12/1985

Series 6

Date: 8/5/1983

FINRA

Current Firm

CATALYST WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CATALYST WEALTH MANAGEMENT

TRUST BUT VERIFY

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