Dorothy M. Schmitt

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CRD#: 1314994

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.

Dorothy Marie Schmitt, who also goes by Dorothy Marie Quigley, Dottie Schmitt, was a registered financial professional .

Dorothy is a previously registered financial professional and started their career in finance in 1984. Dorothy had worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dorothy Marie Quigley | Dottie Schmitt

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

June 27, 2017 - July 2, 2018

CHESAPEAKE FINANCIAL ADVISORS

RIA

CRD#: 120139

TOWSON, MD

Past

January 8, 2016 - April 2, 2018

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Timonium, MD

Past

April 13, 2004 - December 3, 2015

MIDAMERICA FINANCIAL SERVICES, INC.

CRD#: 47351

TIMONIUM, MD

Past

May 12, 1997 - November 3, 2004

DULANEY SECURITIES, INC.

CRD#: 42736

TIMONIUM, MD

Past

January 10, 1992 - July 1, 1997

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

November 15, 1990 - December 21, 2017

INVESTMENT RESOURCE GROUP LTD

RIA

CRD#: 104675

TIMONIUM, MD

Past

October 20, 1989 - January 15, 1992

KEOGLER, MORGAN & COMPANY, INC.

CRD#: 16546

ATLANTA, GA

Past

July 17, 1986 - October 31, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

December 4, 1985 - July 25, 1986

INTERNATIONAL MONEY MANAGEMENT GROUP, INC.

CRD#: 14367

Past

June 7, 1985 - December 6, 1985

CAPITOL SECURITIES MANAGEMENT, INC.

CRD#: 14169

Past

October 26, 1984 - June 7, 1985

INVESTORS SECURITY COMPANY, INC.

CRD#: 2331

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".

CHESAPEAKE FINANCIAL ADVISORS

CHESAPEAKE FINANCIAL ADVISORS | THOMA CAPITAL MANAGEMENT LLC

CRD#: 120139 / SEC#: 801-111054

RIA

Registered Investment Advisory firm - (8/30/2017 Approved)

Florida

Registered Investment Advisory firm - (9/5/2017 Terminated)

Maryland

Registered Investment Advisory firm - (10/18/2017 Terminated)

Pennsylvania

Registered Investment Advisory firm - (9/6/2017 Terminated)

Texas

Registered Investment Advisory firm - (9/5/2017 Terminated)

Virginia

Registered Investment Advisory firm - (9/5/2017 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: 5/10/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/2/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/20/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/11/1986

General Securities Principal Examination

Current Firm

CHESAPEAKE FINANCIAL ADVISORS

CHESAPEAKE FINANCIAL ADVISORS | THOMA CAPITAL MANAGEMENT LLC

CRD#: 120139 / SEC#: 801-111054

RIA

Registered Investment Advisory firm - (8/30/2017 Approved)

Florida

Registered Investment Advisory firm - (9/5/2017 Terminated)

Maryland

Registered Investment Advisory firm - (10/18/2017 Terminated)

Pennsylvania

Registered Investment Advisory firm - (9/6/2017 Terminated)

Texas

Registered Investment Advisory firm - (9/5/2017 Terminated)

Virginia

Registered Investment Advisory firm - (9/5/2017 Terminated)

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Contact information

Main Address

401 Jefferson Avenue, Towson, MD 21286

Mailing Address

Phone number

(410) 823-5442

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CHESAPEAKE FINANCIAL ADVISORS ADV DISCLOSURE BROCHURE (3/5/2025)

Regulatory assets under management

Total Number of Accounts	1,028
AUM (Assets Under Management)	$ 263,687,043

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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Firm Stability Insights

Dorothy M. Schmitt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

MIDAMERICA FINANCIAL SERVICES, INC.

DULANEY SECURITIES, INC.

OSAIC WEALTH, INC.

INVESTMENT RESOURCE GROUP LTD

KEOGLER, MORGAN & COMPANY, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

INTERNATIONAL MONEY MANAGEMENT GROUP, INC.

CAPITOL SECURITIES MANAGEMENT, INC.

INVESTORS SECURITY COMPANY, INC.

Primary Firm SEC Registration

CHESAPEAKE FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 63

Date: 5/10/1985

SIE

Date: 4/2/2018

Series 7

Date: 10/20/1984

Series 24

Date: 11/11/1986

Current Firm

CHESAPEAKE FINANCIAL ADVISORS

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CHESAPEAKE FINANCIAL ADVISORS

TRUST BUT VERIFY

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