Dana E. Schmidt

WULFF, HANSEN & CO.

San Rafael, CA 94903

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CRD#: 1397060

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.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Occasional compliance consulting for broker/dealers or RIAs following notice to and approval from Wulff, Hansen & Co.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dana Elizabeth Schmidt's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Dana Elizabeth Schmidt's 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®

None

Experience

Current

July 25, 2022 - Present

WULFF, HANSEN & CO.

Office #1: 100 Smith Ranch Road Suite 330, San Rafael, CA 94903

RIA

CRD#: 908

San Rafael, CA

Current

June 25, 2019 - Present

WULFF, HANSEN & CO.

Office #1: 100 Smith Ranch Road, Suite 330, San Rafael, CA 94903

RIA

CRD#: 908

San Rafael, CA

Past

October 24, 2017 - August 4, 2022

JORDAN PARK GROUP LLC

RIA

CRD#: 287755

SAN FRANCISCO, CA

Past

June 2, 2014 - June 30, 2017

LOYAL3 SECURITIES INC.

CRD#: 6380

SAN FRANCISCO, CA

Past

August 17, 2007 - March 19, 2014

MICROPLACE, INC.

CRD#: 143403

SAN JOSE, CA

Past

April 5, 2005 - January 24, 2006

ALLSPRING FUNDS DISTRIBUTOR, LLC

CRD#: 133366

CHARLOTTE, NC

Past

March 7, 2005 - January 24, 2006

ALLSPRING FUNDS MANAGEMENT, LLC

RIA

CRD#: 110841

SAN FRANCISCO, CA

Past

June 25, 2004 - December 31, 2004

WELLS FARGO BROKERAGE SERVICES, L.L.C.

CRD#: 16100

MINNEAPOLIS, MN

Past

May 23, 1997 - May 30, 2003

MAM SECURITIES, LLC

CRD#: 41140

SAN FRANCISCO, CA

Past

February 5, 1992 - July 16, 1997

MONTGOMERY SECURITIES

CRD#: 4357

SAN FRANCISCO, CA

Past

August 15, 1989 - October 18, 1991

MORGAN STANLEY & CO. LLC

CRD#: 8209

Past

May 31, 1988 - November 1, 1988

MORGAN STANLEY & CO. LLC

CRD#: 8209

Past

August 20, 1985 - October 18, 1991

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

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".

WULFF, HANSEN & CO.

WULFF CAPITAL MANAGEMENT | WULFF, HANSEN & CO.

CRD#: 908 / SEC#: 801-126111, 8-292

RIA

Registered Investment Advisory firm - SEC (7/15/2022 Approved)

California

Registered Investment Advisory firm - SEC (8/17/2022 Terminated)

Texas

Registered Investment Advisory firm - SEC (7/18/2022 Terminated)

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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.

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
(6/25/2019)

IAR

California
(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

State Security Law Exam

IAR

Series 65

Date: 6/26/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/19/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 6/30/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/17/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/23/1995

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

WULFF, HANSEN & CO.

WULFF CAPITAL MANAGEMENT | WULFF, HANSEN & CO.

CRD#: 908 / SEC#: 801-126111, 8-292

RIA

Registered Investment Advisory firm - SEC (7/15/2022 Approved)

California

Registered Investment Advisory firm - SEC (8/17/2022 Terminated)

Texas

Registered Investment Advisory firm - SEC (7/18/2022 Terminated)

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

100 Smith Ranch Road, Suite 330 Suite 330, San Rafael, CA 94903

Mailing Address

100 Smith Ranch Road, Suite 330, San Rafael, CA 94903

Phone number

(415) 421-8900

Established

California since 12/28/1931

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (2 States and Territories)

FINRA licenses (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WULFF CAPITAL MANAGEMENT (3/26/2025)

Direct owners and executive officers

Name	Position	CRD#
CHARLES, CHRISTOPHER DONALD	PRESIDENT, CCO CHIEF COMPLIANCE OFFICER	709131
PANKRATZ, ROBERT JOHN	MUNICIPAL ADVISOR REPRESENTATIVE, DIRECTOR OF OPERATIONS, VICE PRESIDENT	6911222
STEINKAMP, DENNIS HENRY	SENIOR VICE PRESIDENT	1356304
TU, KIM B	CFO/POO FOR REGULATORY PURPOSES ONLY	2047262

Regulatory assets under management

Total Number of Accounts	138
AUM (Assets Under Management)	$ 132,528,477

Disclosures

Regulatory Event	4
Bond	1

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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Dana E. Schmidt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

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).

Certified licenses

Experience

WULFF, HANSEN & CO.

JORDAN PARK GROUP LLC

LOYAL3 SECURITIES INC.

MICROPLACE, INC.

ALLSPRING FUNDS DISTRIBUTOR, LLC

ALLSPRING FUNDS MANAGEMENT, LLC

WELLS FARGO BROKERAGE SERVICES, L.L.C.

MAM SECURITIES, LLC

MONTGOMERY SECURITIES

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

Primary Firm SEC Registration

WULFF, HANSEN & CO.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/26/1995

Series 63

Date: 3/19/1992

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 6/30/2017

Series 7

Date: 8/17/1985

Series 24

Date: 10/23/1995

FINRA

Current Firm

WULFF, HANSEN & CO.

Contact information

SEC notice filing (2 States and Territories)

FINRA licenses (1 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

WULFF, HANSEN & CO.

TRUST BUT VERIFY

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