DS
Douglas G. Schmitz
FINANCIAL STRATEGIES GROUP
FARGO, ND 58102
Some features on this profile are disabled
CRD#: 1771132
DS
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 and SECURE ASSET MANAGEMENT, L.L.C. located in Fargo, North Dakota.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Douglas has worked at 11 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Doug Schmitz
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) Classic Asset Management, LLC; Investment Advisor Representative located in Fargo, North Dakota. 2) Sunrise Apartments/Townhomes and front street apartments. Owner/General Manager since 1996. This activity is conducted from the home residence and includs collecting rent, paying bills, hiring maintenance, property management. Approx. 10 Hour are devoted to this activity per month with up to 5 hours during trading hours. 3) Schmitz Financial Services Corp. Start date 1/1/2005. Owner/Manager. 4) Classic Holdings, LLC; Non-investment related; 1220 28th Ave N, Fargo, ND 58102; Holding Company; Member; Started 02/2021; 0 hours per month. 5) Secure Asset Management; Investment-related; 1220 28th Ave N, Fargo, ND 58102; Investment Advisor Representative; Started 02/2024.
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Gene 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
July 5, 2006 - Present
FINANCIAL STRATEGIES GROUP
Office #1: 1220 28th Avenue North, Fargo, ND 58102RIA
CRD#: 122030
FARGO, ND
Current
June 25, 2024 - Present
SECURE ASSET MANAGEMENT, L.L.C.
Office #1: 1220 28th Ave N, Fargo, ND 58102RIA
CRD#: 144046
Fargo, ND
Current
March 8, 2024 - Present
AURORA SECURITIES
Office #1: 1220 28th Ave N, Fargo, ND 58102BD
CRD#: 46147
Fargo, ND
Past
November 27, 2012 - April 23, 2024
CLASSIC, LLC
BD
CRD#: 159357
FARGO, ND
Past
January 4, 2010 - December 31, 2012
NORTHSTAR FINANCIAL PARTNERS, INC.
BD
CRD#: 107708
FARGO, ND
Past
October 22, 2007 - December 31, 2009
FINTEGRA, LLC
BD
CRD#: 16741
FARGO, ND
Past
January 12, 2005 - October 19, 2007
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
FARGO, ND
Past
January 8, 2003 - December 31, 2005
QUESTAR CAPITAL CORPORATION
RIA
CRD#: 43100
FARGO, ND
Past
January 2, 2003 - October 19, 2007
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
FARGO, ND
Past
January 22, 2002 - December 31, 2002
CETERA ADVISORS LLC
RIA
CRD#: 10299
FARGO, ND
Past
September 1, 1992 - December 31, 2002
CETERA ADVISORS LLC
BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past
April 24, 1990 - August 31, 1992
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
November 25, 1987 - April 20, 1990
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
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".
SA
SECURE ASSET MANAGEMENT, L.L.C.
1031 CONSULTING AND SERVICES GROUP | WITTENBERG INVESTMENTS, INC | TRANSCEND FINANCIAL | TRADEWELL TAX & FINANCIAL | TRADEWELL FINANCIAL | TITAN WEALTH ADVISORS | THOMAS FINANCIAL | SON LIGHT INC. | SECURE MANAGEMENT | SECURE ASSET MANAGEMENT, LLC | SECURE ASSET MANAGEMENT, L.L.C. | RW BOWLIN INVESTMENT SERVICES, INC. | REAL ESTATE TRANSITION SOLUTIONS | RANGE FINANCIAL | PREMIER ESTATE PLANNERS | PACELINE FINANCIAL LLC | NUSTAR FINANCIAL | NEVILLE FINANCIAL GROUP | MURRAY, TYMKEW & ASSOCIATES, INC. | MONEY & INVESTMENT CONCEPTS | INFORM FINANCIAL | HORNYAK FINANCIAL GROUP | HARRISON FINANCIAL | GOLDSTEIN FINANCIAL | GLEN H. CHESTER & ASSOCIATES | FORTNER WEALTH SERVICES | FORTHRIGHT CAPITAL MANAGEMENT, LLC | FINANCIAL STRATEGIES GROUP | EVERGREEN INVESTMENTS | CRESCENDO FINANCE | COUGHLIN WEALTH MANAGEMENT | COMPASS FINANCIAL | BLUEBIRD ADVISORY
CRD#: 144046 / SEC#: 801-113954
RIA
Registered Investment Advisory firm - (9/7/2018 Approved)Arizona
Registered Investment Advisory firm - (9/17/2018 Terminated)Colorado
Registered Investment Advisory firm - (9/17/2018 Terminated)Florida
Registered Investment Advisory firm - (9/17/2018 Terminated)Illinois
Registered Investment Advisory firm - (9/7/2018 Terminated)Indiana
Registered Investment Advisory firm - (9/19/2018 Terminated)Michigan
Registered Investment Advisory firm - (9/18/2018 Terminated)New York
Registered Investment Advisory firm - (9/17/2018 Terminated)Ohio
Registered Investment Advisory firm - (9/17/2018 Terminated)Pennsylvania
Registered Investment Advisory firm - (9/17/2018 Terminated)Texas
Registered Investment Advisory firm - (9/17/2018 Terminated)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(3/29/2024)
RR
Colorado(7/18/2024)
RR
Iowa(4/29/2024)
RR
Minnesota(6/28/2024)
IAR
North Dakota(7/5/2006)
RR
North Dakota(6/25/2024)
RR
South Dakota(6/28/2024)
IAR
Texas(10/9/2013)
RR
Texas(7/3/2024)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SA
SECURE ASSET MANAGEMENT, L.L.C.
1031 CONSULTING AND SERVICES GROUP | WITTENBERG INVESTMENTS, INC | TRANSCEND FINANCIAL | TRADEWELL TAX & FINANCIAL | TRADEWELL FINANCIAL | TITAN WEALTH ADVISORS | THOMAS FINANCIAL | SON LIGHT INC. | SECURE MANAGEMENT | SECURE ASSET MANAGEMENT, LLC | SECURE ASSET MANAGEMENT, L.L.C. | RW BOWLIN INVESTMENT SERVICES, INC. | REAL ESTATE TRANSITION SOLUTIONS | RANGE FINANCIAL | PREMIER ESTATE PLANNERS | PACELINE FINANCIAL LLC | NUSTAR FINANCIAL | NEVILLE FINANCIAL GROUP | MURRAY, TYMKEW & ASSOCIATES, INC. | MONEY & INVESTMENT CONCEPTS | INFORM FINANCIAL | HORNYAK FINANCIAL GROUP | HARRISON FINANCIAL | GOLDSTEIN FINANCIAL | GLEN H. CHESTER & ASSOCIATES | FORTNER WEALTH SERVICES | FORTHRIGHT CAPITAL MANAGEMENT, LLC | FINANCIAL STRATEGIES GROUP | EVERGREEN INVESTMENTS | CRESCENDO FINANCE | COUGHLIN WEALTH MANAGEMENT | COMPASS FINANCIAL | BLUEBIRD ADVISORY
CRD#: 144046 / SEC#: 801-113954
RIA
Registered Investment Advisory firm - (9/7/2018 Approved)Arizona
Registered Investment Advisory firm - (9/17/2018 Terminated)Colorado
Registered Investment Advisory firm - (9/17/2018 Terminated)Florida
Registered Investment Advisory firm - (9/17/2018 Terminated)Illinois
Registered Investment Advisory firm - (9/7/2018 Terminated)Indiana
Registered Investment Advisory firm - (9/19/2018 Terminated)Michigan
Registered Investment Advisory firm - (9/18/2018 Terminated)New York
Registered Investment Advisory firm - (9/17/2018 Terminated)Ohio
Registered Investment Advisory firm - (9/17/2018 Terminated)Pennsylvania
Registered Investment Advisory firm - (9/17/2018 Terminated)Texas
Registered Investment Advisory firm - (9/17/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2565 West Maple Rd, Troy, MI 48084
Mailing Address
Phone number
(248) 414-1562
Established
Firm type
Fiscal year end
# of Employees
53
SEC notice filing (40 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,714 |
| AUM (Assets Under Management) | $ 890,034,531 |
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.
