Douglas Gene Schmitz
Professional Summary
Douglas Gene Schmitz, who also goes by Doug Schmitz, is a registered financial advisor currently at FINANCIAL STRATEGIES GROUP located in Fargo, North Dakota. Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Douglas has worked at 12 firms and has passed the Series 66, Series 65, Series 63, 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
Doug Schmitz
Similar Advisors
OSAIC WEALTH, INC.
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
BATLEY & ASSOCIATES
BARGELD FINANCIAL
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OSAIC WEALTH, INC.
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
BATLEY & ASSOCIATES
BARGELD FINANCIAL
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
OSAIC WEALTH, INC.
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
BATLEY & ASSOCIATES
BARGELD FINANCIAL
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
OSAIC WEALTH, INC.
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
BATLEY & ASSOCIATES
BARGELD FINANCIAL
Years of Experience
39 years in the financial services industry
Current & Past Employments
Similar Advisors
OSAIC WEALTH, INC.
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
BATLEY & ASSOCIATES
BARGELD FINANCIAL
Current Firm
CLASSIC ASSET MANAGEMENT, LLC | FINANCIAL STRATEGIES GROUP, INC. | FINANCIAL STRATEGIES GROUP
Contact Information
Main Address
1220 28th Avenue North, Fargo, ND 58102Phone Number
(701) 234-0103# of Employees
10SEC notice filing (11 States and Territories)
Registered to provide investment advisory services in 11 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,346AUM (Assets Under Management)
$189,148,000Similar Advisors
OSAIC WEALTH, INC.
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
BATLEY & ASSOCIATES
BARGELD FINANCIAL
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
OSAIC WEALTH, INC.
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
BATLEY & ASSOCIATES
BARGELD FINANCIAL
Primary Firm SEC Registration
CLASSIC ASSET MANAGEMENT, LLC | FINANCIAL STRATEGIES GROUP, INC. | FINANCIAL STRATEGIES GROUP
State Registrations and Notice Filings
(7/5/2006)
(10/9/2013)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Similar Advisors
OSAIC WEALTH, INC.
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
BATLEY & ASSOCIATES
BARGELD FINANCIAL
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Gene Schmitz's CRS (Customer Relationship Summary).
Similar Advisors
OSAIC WEALTH, INC.
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
BATLEY & ASSOCIATES
BARGELD FINANCIAL
