Stephen J. Schmitz
Professional summary
Stephen Joseph Schmitz is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in St Cloud, Minnesota and CETERA WEALTH SERVICES, LLC located in St Cloud, Minnesota.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 2000. Stephen has worked at 14 firms and has passed the SIE, Series 99TO and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Joseph Schmitz's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 5, 1990 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 400 1st St S Ste 300, St Cloud, MN 56301December 16, 2011 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 400 1st St S Ste 300, St Cloud, MN 56301December 16, 2011 - Present
CETERA ADVISORS LLC
Office #1: 400 1st St S Ste 300, St Cloud, MN 56301June 19, 2012 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 400 1st St S Ste 300, St Cloud, MN 56301October 11, 2024 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
January 28, 2015 - December 19, 2016
INVESTORS CAPITAL CORP.
January 28, 2015 - December 31, 2016
LEGEND EQUITIES CORPORATION
January 28, 2015 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
January 28, 2015 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
December 17, 2014 - December 23, 2015
J.P. TURNER & COMPANY, L.L.C.
August 7, 2001 - November 6, 2001
GUARANTY BROKERAGE SERVICES, INC.
August 7, 2001 - November 6, 2001
BANCNORTH INVESTMENT GROUP, INC.
June 14, 2000 - September 20, 2000
NATHAN & LEWIS SECURITIES, INC.
May 4, 2000 - June 14, 2000
GUARANTY BROKERAGE SERVICES, INC.
April 20, 2000 - November 14, 2003
BANCWEST INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
CETERA FINANCIAL SPECIALISTS LLC
CRD#: 10358 / SEC#: , 8-27082
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BANKS, ELAYNE CAMILLE | VICE PRESIDENT | 3070202 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | CHIEF COMPLIANCE OFFICER | 4710068 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| KRUEGER, RONALD GEORGE | MANAGER, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 2651416 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| ROTHENBERG, JON HOWARD | VICE PRESIDENT | 2737327 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
Red Flags
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Company Information
CETERA FINANCIAL SPECIALISTS LLC
CRD#: 10358St Cloud, MN 56301TRUST BUT VERIFY
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