Dana Elizabeth Schmidt
Professional Summary
Dana Elizabeth Schmidt is a registered financial advisor currently at WULFF, HANSEN & CO. located in San Rafael, California. Dana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Dana has worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
SPARTA WEALTH PARTNERS
PFS INVESTMENTS INC.
EQUITABLE ADVISORS, LLC
DOUGHERTY INVESTMENT ADVISORS
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
SPARTA WEALTH PARTNERS
PFS INVESTMENTS INC.
EQUITABLE ADVISORS, LLC
DOUGHERTY INVESTMENT ADVISORS
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
SPARTA WEALTH PARTNERS
PFS INVESTMENTS INC.
EQUITABLE ADVISORS, LLC
DOUGHERTY INVESTMENT ADVISORS
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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
SPARTA WEALTH PARTNERS
PFS INVESTMENTS INC.
EQUITABLE ADVISORS, LLC
DOUGHERTY INVESTMENT ADVISORS
Years of Experience
41 years in the financial services industry
Current & Past Employments
Similar Advisors
SPARTA WEALTH PARTNERS
PFS INVESTMENTS INC.
EQUITABLE ADVISORS, LLC
DOUGHERTY INVESTMENT ADVISORS
Current Firm
WULFF CAPITAL MANAGEMENT | WULFF, HANSEN & CO.
Contact Information
Main Address
100 Smith Ranch Road, Suite 320 Suite 320, San Rafael, CA 94903Mailing Address
100 Smith Ranch Road, Suite 320, San Rafael, CA 94903Phone Number
(415) 421-8900Established
California since 12/28/1931Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
9SEC notice filing (2 States and Territories)
Registered to provide investment advisory services in 2 US states and territories.
FINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 2 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
143AUM (Assets Under Management)
$144,815,568Disclosures
Regulatory Event
4Bond
1Similar Advisors
SPARTA WEALTH PARTNERS
PFS INVESTMENTS INC.
EQUITABLE ADVISORS, LLC
DOUGHERTY INVESTMENT ADVISORS
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.
Similar Advisors
SPARTA WEALTH PARTNERS
PFS INVESTMENTS INC.
EQUITABLE ADVISORS, LLC
DOUGHERTY INVESTMENT ADVISORS
Primary Firm SEC Registration
WULFF CAPITAL MANAGEMENT | WULFF, HANSEN & CO.
State Registrations and Notice Filings
(6/25/2019)
(7/25/2022)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
Similar Advisors
SPARTA WEALTH PARTNERS
PFS INVESTMENTS INC.
EQUITABLE ADVISORS, LLC
DOUGHERTY INVESTMENT ADVISORS
CRS (Client Relationship Summary) - RIA
Click below to view Dana Elizabeth Schmidt's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dana Elizabeth Schmidt's CRS (Customer Relationship Summary).
Similar Advisors
SPARTA WEALTH PARTNERS
PFS INVESTMENTS INC.
EQUITABLE ADVISORS, LLC
DOUGHERTY INVESTMENT ADVISORS
