Kent Charles Schmidt
CFP®Professional Summary
Kent Charles Schmidt, CFP®, who also goes by Kent Schmidt, is a registered financial advisor currently at SMITH, MOORE & CO. located in Effingham, Illinois. Kent is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Kent has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 3, Series 10, Series 9, Series 24 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Investment Planning
- Comprehensive Financial Planning
- Employee and Employer Plan Benefits
- Retirement Planning
Other Aliases
Kent Schmidt
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
xxxxx@xxxx.xxx
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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.
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Credentials
Years of Experience
35 years in the financial services industry
Current & Past Employments
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Current Firm
SMITH MOORE & CO. | THE SEVENS ADVISORY GROUP | SMITH, MOORE & CO.
Contact Information
Main Address
7777 Bonhomme Ave., Suite 2400 Suite 2400, Clayton, MO 63105Mailing Address
7777 Bonhomme Ave., Suite 2400, Clayton, MO 63105Phone Number
(314) 727-5225Established
Missouri since 12/23/1981Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
65SEC notice filing (36 States and Territories)
Registered to provide investment advisory services in 36 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 36 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DEUTSCH, STEWART JAMES JR | PRESIDENT, CHIEF EXECTIVE OFFICER, DIRECTOR | 2537447 |
| SCHULTE, TIMOTHY EUGENE | CHAIRMAN OF THE BOARD, DIRECTOR | 1869986 |
| RHYNER, RANDALL PAUL | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2443274 |
| SCHMIDT, KENT CHARLES | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2153325 |
| BRAGG, MATTHEW EDWARD | EXECUTIVE VICE PRESIDENT, SECRETARY, DIRECTOR | 2279799 |
| BRODY, AMY LYNN | CHIEF FINANCIAL OFFICER, FINOP | 6486826 |
| KRAFT, BARBARA ANN | CHIEF OPERATING OFFICER | 1225082 |
| MORAN, DANIEL PATRICK | CHIEF TECHNOLOGY OFFICER | 2685632 |
| PERRYMAN, JARET DALIN | CHIEF COMPLIANCE OFFICER | 3034594 |
Regulatory Assets Under Management
Total Number of Accounts
5,865AUM (Assets Under Management)
$2,371,739,897Disclosures
Regulatory Event
7Arbitration
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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.
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Primary Firm SEC Registration
SMITH MOORE & CO. | THE SEVENS ADVISORY GROUP | SMITH, MOORE & CO.
State Registrations and Notice Filings
(1/28/2016)
(1/2/2026)
(9/8/2022)
(7/31/2009)
(10/29/2020)
(7/31/2009)
(8/10/2009)
(3/29/2011)
(3/7/2022)
(1/2/2026)
(6/18/2012)
(4/30/2014)
(7/31/2009)
(7/31/2009)
(6/10/2025)
(1/10/2024)
(6/15/2015)
(1/15/2019)
(3/25/2021)
(7/31/2009)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Nov 2000About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Oct 2000About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Kent Charles Schmidt's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kent Charles Schmidt's CRS (Customer Relationship Summary).
Services Offered by Kent
- Investment Planning
- Comprehensive Financial Planning
- Employee and Employer Plan Benefits
- Retirement Planning
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