SS
Steven J. Schmitz
SCHMITZ CAPITAL PARTNERS
Mill Valley, CA 94941
Some features on this profile are disabled
CRD#: 1432690
SS
Professional summary
Steven Joseph Schmitz is a registered financial advisor currently at SCHMITZ CAPITAL PARTNERS, LLC located in Mill Valley, California and OSAIC WEALTH, INC. located in Mill Valley, California.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Steven 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
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.
1. INSURANCE, INVETMENT RELATED, STEVEN J SCHMITZ, SOLE PROPRIETORSHIP, 655 REDWOOD HWY., SUITE 109, MILL VALLEY, CA. 94941, OWNER, 1/31/1986, 10 HRS/MO, 0 DURING TRADING HRS, PROVIDE INSURANCE SERVICES, FIXED ANNUITIES AND LONG TERM CARE INSURANCE FOR SELECTED CLIENTS. FIXED ANNUITIES, VARIABLE ANNUITIES, VARIABLE LIFE OR VARIABLE UNIVERSAL LIFE, FIXED LIFE. GENWORTH, UNION CENTRAL, JEFFERSON PILOT, JOHN HANCOCK, METLIFE, CENTRELINK, IPG, INC., BROKERAGE UNLIMITED, MUTUAL OF OMAHA, ING(RELIAASTAR, NORTHERN LIFE), UNION CENTRAL, WESTLAND FINANCIAL, TRUMARK. MARSH PRIVATE CLIENT. 2. INSURANCE, YES, SCHMITZ CAPTIAL PARTNERS, SOLE PROPRIETORSHIP, 655 REDWOOD HWY., SUITE 109 MILL VALLEY CA 94941, OWNER, 8/12/2010, 4 HRS/MO, 0 DURING TRADING HRS, LICENSED LIFE INSURANCE AGENT. FIXED ANNUITIES, VARIABLE ANNUITIES, VARIABLE LIFE OR VARIABLE UNIVERSAL LIFE, FIXED LIFE, ACCIDENT & DISABILITY. GENWORTH, UNION CENTRAL, JEFFERSON PILOT, JOHN HANCOCK, METLIFE, CENTRELINK, IPG, INC., BROKERAGE UNLIMITED, MUTUAL OF OMAHA, ING(RELIASTAR, NORTHERN LIFE), WESTLAND FINANCIAL,TRUMARK, MARSH PRIVATE CLIENT, LPG. 3. INVESTMENT ADVISORY SERVICES, INDEPENDENT REGISTERED INVESTMENT ADVISOR, YES, SCHMITZ CAPITAL PARTNERS, SOLE PROPRIETORSHIP, 655 REDWOOD HWY., SUITE 109, MILL VALLEY, CA. 94941, PRESIDENT/CHIEF COMPLIANCE OFFICER, NOVEMBER, 1988, 80 HRS/MO, 4 DURING TRADING HRS, PRESIDENT, CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISOR. 4. SCHMITZ & ASSOCIATES POSITION: Owner - NATURE: Sole Proprietorship - INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1986 ADDRESS: 655 Redwood Hwy. Suite 109, Mill Valley CA 94941, United States DESCRIPTION: Prepare income tax returns for 25-30 clients. Prepare inccome tax projections and budget estimates.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Joseph Schmitz'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®
NoneExperience
Current
April 22, 2015 - Present
SCHMITZ CAPITAL PARTNERS, LLC
Office #1: 655 Redwood Hwy Ste 109, Mill Valley, CA 94941RIA
CRD#: 105702
Mill Valley, CA
Current
January 31, 1997 - Present
OSAIC WEALTH, INC.
Office #1: 655 Redwood Highway Suite 109, Mill Valley, CA 94941RIA
BD
CRD#: 23131
Mill Valley, CA
Past
November 1, 1989 - January 31, 1997
KEOGLER, MORGAN & COMPANY, INC.
BD
CRD#: 16546
ATLANTA, GA
Past
November 3, 1988 - November 15, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
November 20, 1985 - November 3, 1988
CHRISTOPHER WEIL & COMPANY, INC
BD
CRD#: 6566
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".
SC
SCHMITZ CAPITAL PARTNERS, LLC
SCHMITZ & ASSOCIATES | SCHMITZ STEVEN JOSEPH | SCHMITZ CAPITAL PARTNERS, LLC | SCHMITZ CAPITAL PARTNERS
CRD#: 105702 / SEC#: 801-33527
RIA
Registered Investment Advisory firm - (12/23/1988 Approved)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.RR
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
RR
Arizona(5/20/2004)
RR
Arkansas(1/20/2011)
RR
California(1/31/1997)
IAR
California(4/22/2015)
RR
Colorado(1/9/1998)
RR
Connecticut(9/5/2025)
RR
Florida(6/17/2013)
RR
Georgia(1/14/1999)
RR
Hawaii(1/31/1997)
RR
Idaho(5/1/2007)
RR
Iowa(3/1/2006)
RR
Louisiana(2/5/2020)
RR
Massachusetts(7/11/2000)
RR
Montana(3/13/2000)
RR
Nevada(2/14/2002)
RR
New Jersey(1/7/2010)
RR
New York(12/4/1997)
RR
North Carolina(12/15/2011)
RR
Ohio(7/3/2001)
RR
Oregon(1/31/1997)
RR
South Carolina(1/9/2019)
RR
Texas(2/4/2020)
RR
Utah(6/27/2018)
RR
Washington(9/18/2000)
RR
Wisconsin(11/19/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SC
SCHMITZ CAPITAL PARTNERS, LLC
SCHMITZ & ASSOCIATES | SCHMITZ STEVEN JOSEPH | SCHMITZ CAPITAL PARTNERS, LLC | SCHMITZ CAPITAL PARTNERS
CRD#: 105702 / SEC#: 801-33527
RIA
Registered Investment Advisory firm - (12/23/1988 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
655 Redwood Hwy Ste 109, Mill Valley, CA 94941
Mailing Address
Phone number
(415) 381-9075
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 311 |
| AUM (Assets Under Management) | $ 125,327,234 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SCHMITZ CAPITAL PARTNERS, LLC
CRD#: 105702Mill Valley, CA 94941TRUST BUT VERIFY
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