Randall F. Schmitz

HARBOUR INVESTMENTS

Appleton, WI 54911

Some features on this profile are disabled

CRD#: 1386428

Professional summary

Randall Francis Schmitz, CFP®, who also goes by Randy Schmitz, is a registered financial advisor currently at HARBOUR INVESTMENTS, INC. located in Appleton, Wisconsin.

Randall is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Randall has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Randy Schmitz

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) PLANNING CONCEPTS - INDEPENDENT INSURANCE AGENT INCLUDING EQUITY INDEXED ANNUITIES. OWNER, SHAREHOLD, VP, SEC, AND TREASURER, 1920 E NORTHLAND AVE., APPLETON, WI 54911, START DATE, 12/30/1991, 139 HOURS/MONTH DURING SECURITIES TRADING HOURS, AND 70 HOURS/MONTH AFTER 2)REAL ESTATE AGENT. 2760 HUMBOLDT RD APT 5, GREEN BAY, WI 54311, LICENSED REAL ESTATE BROKER, START DATE 10/14/1977 3)RANDALL F. SCHMITZ, JD, CPA, TAX PREPARATION, 2760 HUMBOLDT RD APT 5, GREEN BAY, WI 54311, START DATE 6/1/1977, 3 HOURS/MONTH AFTER SECURITIES TRADING HOURS. 4) BUD SCHMITZ, INC. PRESIDENT OF INSURANCE AGENCY CORPORATION MY FATHER BEGAN, ASSIST WITH SERVICE, ACCOUNTING, START DATE 9-4-2013, 8 HOURS/MONTH DURING AND AFTER SECURITIES TRADING HOURS. 5) CO-TRUSTEE OF MY MOTHER'S TRUST AND PERSONAL REPRESENTATIVE OF HER ESTATE,IS INVESTMENT RELATED,,CO-TRUSTEE AND PERSONAL REPRESENTATIVE,2023-09-29,24 HOURS PER MONTH,2 HOURS PER MONTH DURING TRADING HOURS,OTHER COMPENSATION,"MY MOTHER PASSED AWAY ON 9/29/23. I WAS DESIGNATED PERSONAL REPRESENTATIVE OF ESTATE, BUT ASSETS WERE IN HER REVOCABLE TRUST WHICH BECAME IRREVOCABLE AT HER DEATH. UPON MY MOTHER'S PASSING I BECAME A CO-TRUSTEE WITH ONE MY SISTER'S OF THE NOW IRREVOCABLE TRUST. COMPENSATION AS CO-TRUSTEE UNDETERMINED."

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Randall Francis Schmitz's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Randall Francis Schmitz'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: 1991

Experience

Current

July 12, 1990 - Present

HARBOUR INVESTMENTS, INC.

Office #1: 1920 E Northland Avenue, Appleton, WI 54911

RIA

CRD#: 19258

Appleton, WI

Current

July 12, 1990 - Present

HARBOUR INVESTMENTS, INC.

Office #1: 1920 E Northland Avenue, Appleton, WI 54911

RIA

CRD#: 19258

Appleton, WI

Past

March 21, 1989 - July 23, 1990

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

Past

December 9, 1987 - March 27, 1989

CAPITAL FINANCIAL SERVICES, INC.

CRD#: 8408

Past

December 23, 1986 - December 10, 1987

COORDINATED CAPITAL SECURITIES, INC.

CRD#: 14762

Past

April 1, 1986 - January 1, 1987

CAPITAL FINANCIAL SERVICES, INC.

CRD#: 8408

Past

July 24, 1985 - April 8, 1986

CHARTER SECURITIES CORPORATION

CRD#: 7062

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".

HARBOUR INVESTMENTS, INC.

CRD#: 19258 / SEC#: 801-29185, 8-37373

RIA

Registered Investment Advisory firm - SEC (4/10/1987 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(6/3/2025)

Florida
(2/26/2014)

Kansas
(3/18/2015)

Minnesota
(1/2/2025)

Utah
(1/5/2012)

Wisconsin
(7/12/1990)

IAR

Wisconsin
(7/12/1990)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 7/31/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/20/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/19/1994

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

HARBOUR INVESTMENTS, INC.

CRD#: 19258 / SEC#: 801-29185, 8-37373

RIA

Registered Investment Advisory firm - SEC (4/10/1987 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

575 D'onofrio Drive Suite 300, Madison, WI 53719

Mailing Address

575 D'onofrio Drive Suite 300, Madison, WI 53719

Phone number

(608) 662-6100

Established

Wisconsin since 01/22/1987

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

231

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

INVESTMENT ADVISOR BROCHURE (10/2/2025)

Direct owners and executive officers

Name	Position	CRD#
SONDEL, NICK WILLIAM	CHIEF EXECUTIVE OFFICER	1261064
DUSHEK, JAMES WALTER	VICE PRESIDENT OF OPERATIONS	4323103
HAGER, AARON MICHAEL	PRESIDENT	5017811
KOPITZKE, KYLE LEE	CO-CCO	5675560
MEDLAND, RICHARD ONEILL	CO-CCO	2748242
MEYER, RHONDA LEE	SENIOR VICE PRESIDENT & CHIEF OPERATING OFFICER, FINOP	2285226
NELLES, JULIE MARIE	VP OF ADVISORY OPERATIONS & SERVICES	4771824
WIPPERFURTH, DANIEL THOMAS	VICE PRESIDENT OF ADVISOR DEVELOPMENT	4029404

Regulatory assets under management

Total Number of Accounts	38,692
AUM (Assets Under Management)	$ 7,569,614,628

Disclosures

Regulatory Event	3
Bond	6

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.

Similar Advisors

Donald Devitto

RBC CAPITAL MARKETS, LLC

IAR

Rochester, NY

Lucas Giordano

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Woodland, CA

James Parker

MORGAN STANLEY

IAR

Franklin, TN

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Randall F. Schmitz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Randall Francis Schmitz's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Randall Francis Schmitz's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARBOUR INVESTMENTS, INC.

SII INVESTMENTS, INC.

CAPITAL FINANCIAL SERVICES, INC.

COORDINATED CAPITAL SECURITIES, INC.

CAPITAL FINANCIAL SERVICES, INC.

CHARTER SECURITIES CORPORATION

Primary Firm SEC Registration

HARBOUR INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/31/1985

SIE

Date: 10/1/2018

Series 7

Date: 7/20/1985

Series 24

Date: 4/19/1994

FINRA

Current Firm

HARBOUR INVESTMENTS, INC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

HARBOUR INVESTMENTS, INC.

TRUST BUT VERIFY

Similar Advisors