Marty W. Schimp

BRADFORD FINANCIAL CENTER

Clarion, IA 50525

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CRD#: 2074926

Professional summary

Marty William Schimp is a registered financial advisor currently at BRADFORD FINANCIAL CENTER located in Clarion, Iowa and UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Clarion, Iowa.

Marty is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Marty has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 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.) BRADFORD FINANCIAL CENTER - FINANCIAL ADVISOR - REGISTERED INVESTMENT ADVISOR - CLARION, IA - SINCE 01/2006 - INVESTMENT RELATED 2.) BRADFORD INSURANCE - AGENT - NON-VARIABLE INSURANCE - CLARION, IA - SINCE 02/1994 - INVESTMENT RELATED 3.) MWS FINANCIAL LLC - PRESIDENT - LLC NOT HELD OUT TO PUBLIC, FOR TAX PURPOSES - WILLIAMS, IA - SINCE 01/2022 - NOT INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marty William Schimp's CRS (Customer Relationship Summary).

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

January 1, 1999 - Present

BRADFORD FINANCIAL CENTER

Office #1: 119 Central Ave W, Clarion, IA 50525

RIA

CRD#: 110953

Clarion, IA

Current

August 10, 2006 - Present

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Office #1: 119 Central Ave. W, Clarion, IA 50525

RIA

CRD#: 20804

Clarion, IA

Past

August 19, 1999 - August 14, 2006

CETERA ADVISORS LLC

CRD#: 10299

CLARION, IA

Past

February 25, 1994 - August 25, 1999

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

July 23, 1990 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

July 23, 1990 - March 9, 1994

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

BRADFORD FINANCIAL CENTER

CRD#: 110953 / SEC#: 801-68117

RIA

Registered Investment Advisory firm - (7/23/2007 Approved)

Iowa

Registered Investment Advisory firm - (9/13/2007 Terminated)

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

Alabama
(9/29/2025)

Arkansas
(8/10/2006)

California
(9/13/2024)

Indiana
(8/10/2006)

IAR

Iowa
(1/1/1999)

Iowa
(8/10/2006)

Michigan
(6/14/2016)

Minnesota
(8/10/2006)

Nevada
(9/16/2024)

Tennessee
(2/12/2020)

Washington
(8/10/2006)

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

Series 63

Date: 7/11/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/3/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/11/1990

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

BRADFORD FINANCIAL CENTER

CRD#: 110953 / SEC#: 801-68117

RIA

Registered Investment Advisory firm - (7/23/2007 Approved)

Iowa

Registered Investment Advisory firm - (9/13/2007 Terminated)

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Contact information

Main Address

119 Central Ave W, Clarion, IA 50525

Mailing Address

Po Box 540, Clarion, IA 50525-0540

Phone number

(515) 532-6661

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (25 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BRADFORD ADV 2A (10/29/2025)

Regulatory assets under management

Total Number of Accounts	1,710
AUM (Assets Under Management)	$ 232,332,172

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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Firm Stability Insights

Marty W. Schimp

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marty William Schimp's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CETERA ADVISORS LLC

OSAIC WEALTH, INC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

BRADFORD FINANCIAL CENTER

State Registrations and Notice Filings

Exams

Series 63

Date: 7/11/1990

SIE

Date: 10/1/2018

Series 7

Date: 4/3/1996

Series 6

Date: 7/11/1990

FINRA

Current Firm

BRADFORD FINANCIAL CENTER

Contact information

SEC notice filing (25 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BRADFORD FINANCIAL CENTER

TRUST BUT VERIFY

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