Robert J. Schlemmer

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CRD#: 1388240

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.

Robert Joseph Schlemmer, who also goes by Bob Schlemmer, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1985. Robert had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bob Schlemmer

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

February 10, 2017 - January 9, 2018

BALLAST CAPITAL ADVISORS, LLC

RIA

CRD#: 282369

WEST DES MOINES, IA

Past

October 12, 2015 - February 4, 2016

STATE FARM VP MANAGEMENT CORP.

CRD#: 43036

BLOOMINGTON, IL

Past

March 8, 2013 - October 11, 2013

INSPEREX LLC

CRD#: 101420

DELRAY BEACH, FL

Past

April 7, 2000 - December 31, 2008

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

CHICAGO, IL

Past

January 28, 1995 - December 31, 2008

UBS FINANCIAL SERVICES INC.

CRD#: 8174

CHICAGO, IL

Past

May 7, 1991 - January 28, 1995

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

January 23, 1989 - May 14, 1991

BANC ONE CAPITAL MARKETS, INC.

CRD#: 23065

CHICAGO, IL

Past

April 21, 1987 - October 28, 1988

WINGSPAN INVESTMENT SERVICES

CRD#: 17516

Past

July 24, 1985 - October 28, 1985

BMO CAPITAL MARKETS GKST INC.

CRD#: 8352

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".

BALLAST CAPITAL ADVISORS, LLC

BALLAST CAPITAL ADVISORS LLC | BALLAST CAPITAL ADVISORS, LLC

CRD#: 282369 / SEC#: 801-120829

RIA

Registered Investment Advisory firm - (4/16/2021 Approved)

Illinois

Registered Investment Advisory firm - (10/5/2018 Terminated)

Iowa

Registered Investment Advisory firm - (5/10/2021 Terminated)

Texas

Registered Investment Advisory firm - (5/4/2021 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

IAR

Series 65

Date: 12/17/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/11/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/4/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/7/2013

General Securities Representative Examination

Current Firm

BALLAST CAPITAL ADVISORS, LLC

BALLAST CAPITAL ADVISORS LLC | BALLAST CAPITAL ADVISORS, LLC

CRD#: 282369 / SEC#: 801-120829

RIA

Registered Investment Advisory firm - (4/16/2021 Approved)

Illinois

Registered Investment Advisory firm - (10/5/2018 Terminated)

Iowa

Registered Investment Advisory firm - (5/10/2021 Terminated)

Texas

Registered Investment Advisory firm - (5/4/2021 Terminated)

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Contact information

Main Address

1200 Office Plaza Drive, West Des Moines, IA 50266

Mailing Address

Phone number

(844) 331-4662

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 AND 2B 030725 (3/7/2025)

Regulatory assets under management

Total Number of Accounts	150
AUM (Assets Under Management)	$ 318,443,752

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

Robert J. Schlemmer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

STATE FARM VP MANAGEMENT CORP.

INSPEREX LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

KIDDER, PEABODY & CO. INCORPORATED

BANC ONE CAPITAL MARKETS, INC.

WINGSPAN INVESTMENT SERVICES

BMO CAPITAL MARKETS GKST INC.

Primary Firm SEC Registration

BALLAST CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/17/2016

Series 63

Date: 3/11/2013

SIE

Date: 2/4/2016

Series 7

Date: 3/7/2013

Current Firm

BALLAST CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BALLAST CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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