Wayne R. Schmidt

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CRD#: 1278435

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Wayne Richard Schmidt was a registered financial professional .

Wayne is a previously registered financial professional and started their career in finance in 1985. Wayne had worked at 3 firms and has passed the Series 63, Series 7, Series 22, Series 6, Series 24, Series 39 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

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

None

Experience

Past

January 3, 2012 - December 31, 2020

GRADIENT INVESTMENTS, LLC

RIA

CRD#: 141726

ARDEN HILLS, MN

Past

October 27, 2008 - December 31, 2011

GRADIENT INVESTMENTS, LLC

RIA

CRD#: 141726

SHOREVIEW, MN

Past

December 12, 1988 - October 22, 1992

DATAPLAN SECURITIES, INC.

CRD#: 16813

Past

October 30, 1986 - September 30, 1988

DATAPLAN SECURITIES, INC.

CRD#: 16813

Past

February 12, 1985 - July 22, 2003

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST. PAUL, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

GRADIENT INVESTMENTS, LLC

GRADIENT INVESTMENT GROUP LLC | REGISTERED INDEPENDENT ADVISORS, LLC | REGISTERED INDEPENDENT AGENTS, LLC | GRADIENT INVESTMENTS, LLC

CRD#: 141726 / SEC#: 801-70812

RIA

Registered Investment Advisory firm - (12/1/2009 Approved)

Alabama

Registered Investment Advisory firm - (1/20/2010 Terminated)

Arizona

Registered Investment Advisory firm - (12/8/2009 Terminated)

California

Registered Investment Advisory firm - (12/9/2009 Terminated)

Colorado

Registered Investment Advisory firm - (12/10/2009 Terminated)

Florida

Registered Investment Advisory firm - (12/8/2009 Terminated)

Idaho

Registered Investment Advisory firm - (12/8/2009 Terminated)

Kansas

Registered Investment Advisory firm - (12/8/2009 Terminated)

Maryland

Registered Investment Advisory firm - (12/21/2009 Terminated)

Minnesota

Registered Investment Advisory firm - (12/8/2009 Terminated)

Missouri

Registered Investment Advisory firm - (12/8/2009 Terminated)

Nevada

Registered Investment Advisory firm - (12/31/2009 Terminated)

New Jersey

Registered Investment Advisory firm - (12/8/2009 Terminated)

New York

Registered Investment Advisory firm - (11/19/2009 Cancelled)

North Carolina

Registered Investment Advisory firm - (12/8/2009 Terminated)

Ohio

Registered Investment Advisory firm - (12/8/2009 Terminated)

Pennsylvania

Registered Investment Advisory firm - (12/10/2009 Terminated)

South Carolina

Registered Investment Advisory firm - (12/8/2009 Terminated)

Tennessee

Registered Investment Advisory firm - (12/23/2009 Terminated)

Texas

Registered Investment Advisory firm - (12/8/2009 Terminated)

Virginia

Registered Investment Advisory firm - (12/9/2009 Terminated)

Wisconsin

Registered Investment Advisory firm - (12/8/2009 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).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 6/20/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/20/1988

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 8/10/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 7/5/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/1/1988

General Securities Principal Examination

Principal/Supervisory Exam

Series 39

Date: 9/4/1984

Direct Participation Programs Principal Examination

Principal/Supervisory Exam

Series 26

Date: 7/18/1984

Investment Company Products/Variable Contracts Principal Examination

Current Firm

GRADIENT INVESTMENTS, LLC

GRADIENT INVESTMENT GROUP LLC | REGISTERED INDEPENDENT ADVISORS, LLC | REGISTERED INDEPENDENT AGENTS, LLC | GRADIENT INVESTMENTS, LLC

CRD#: 141726 / SEC#: 801-70812

RIA

Registered Investment Advisory firm - (12/1/2009 Approved)

Alabama

Registered Investment Advisory firm - (1/20/2010 Terminated)

Arizona

Registered Investment Advisory firm - (12/8/2009 Terminated)

California

Registered Investment Advisory firm - (12/9/2009 Terminated)

Colorado

Registered Investment Advisory firm - (12/10/2009 Terminated)

Florida

Registered Investment Advisory firm - (12/8/2009 Terminated)

Idaho

Registered Investment Advisory firm - (12/8/2009 Terminated)

Kansas

Registered Investment Advisory firm - (12/8/2009 Terminated)

Maryland

Registered Investment Advisory firm - (12/21/2009 Terminated)

Minnesota

Registered Investment Advisory firm - (12/8/2009 Terminated)

Missouri

Registered Investment Advisory firm - (12/8/2009 Terminated)

Nevada

Registered Investment Advisory firm - (12/31/2009 Terminated)

New Jersey

Registered Investment Advisory firm - (12/8/2009 Terminated)

New York

Registered Investment Advisory firm - (11/19/2009 Cancelled)

North Carolina

Registered Investment Advisory firm - (12/8/2009 Terminated)

Ohio

Registered Investment Advisory firm - (12/8/2009 Terminated)

Pennsylvania

Registered Investment Advisory firm - (12/10/2009 Terminated)

South Carolina

Registered Investment Advisory firm - (12/8/2009 Terminated)

Tennessee

Registered Investment Advisory firm - (12/23/2009 Terminated)

Texas

Registered Investment Advisory firm - (12/8/2009 Terminated)

Virginia

Registered Investment Advisory firm - (12/9/2009 Terminated)

Wisconsin

Registered Investment Advisory firm - (12/8/2009 Terminated)

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Contact information

Main Address

4105 Lexington Avenue North Suite 250, Arden Hills, MN 55126

Mailing Address

Phone number

(888) 824-3525

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A AND 2B (9/15/2025)

Regulatory assets under management

Total Number of Accounts	69,105
AUM (Assets Under Management)	$ 7,096,331,987

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

Wayne R. Schmidt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GRADIENT INVESTMENTS, LLC

DATAPLAN SECURITIES, INC.

DATAPLAN SECURITIES, INC.

SECURIAN FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

GRADIENT INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/20/1984

Series 7

Date: 2/20/1988

Series 22

Date: 8/10/1984

Series 6

Date: 7/5/1984

Series 24

Date: 6/1/1988

Series 39

Date: 9/4/1984

Series 26

Date: 7/18/1984

Current Firm

GRADIENT INVESTMENTS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GRADIENT INVESTMENTS, LLC

TRUST BUT VERIFY

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