Kent C. Schmidt

SMITH, MOORE & CO.

Effingham, IL 62401

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CRD#: 2153325

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.

Question & Answer

What are your service offerings?

Investment Planning

Comprehensive Financial Planni...

Employee and Employer Plan Ben...

Retirement Planning

Are you a "fiduciary"?

Yes

Aliases

Kent Schmidt

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. ARC COMMUNITY SUPPORT SYSTEMS FOUNDATION, 618 MAIN ST, TEUTOPOLIS, IL, SERVICES TO MENTALLY HANDICAPPED, BOARD MEMBER, 4-5 HOURS PER YEAR, NONE DURING NORMAL FIRM BUSINESS HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kent Charles Schmidt's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Kent Charles Schmidt'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®

CFP^®

Certified Financial Planner

Start date: 1998

Experience

Current

August 10, 2009 - Present

SMITH, MOORE & CO.

Office #1: 401 S Banker St Suite E, Effingham, IL 62401

RIA

CRD#: 3441

Effingham, IL

Current

July 31, 2009 - Present

SMITH, MOORE & CO.

Office #1: 401 S Banker St Suite E, Effingham, IL 62401

RIA

CRD#: 3441

Effingham, IL

Past

January 1, 2008 - August 11, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

EFFINGHAM, IL

Past

January 1, 2008 - August 11, 2009

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

EFFINGHAM, IL

Past

December 22, 2000 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

EFFINGHAM, IL

Past

January 22, 1999 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

EFFINGHAM, IL

Past

January 4, 1999 - February 10, 1999

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

July 21, 1995 - January 4, 1999

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

September 29, 1993 - August 23, 1995

WILMINGTON SECURITIES, INC.

CRD#: 19621

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".

SMITH, MOORE & CO.

SMITH MOORE & CO. | THE SEVENS ADVISORY GROUP | SMITH, MOORE & CO.

CRD#: 3441 / SEC#: 801-68175, 8-27480

RIA

Registered Investment Advisory firm - SEC (8/8/2007 Approved)

Mississippi

Registered Investment Advisory firm - SEC (5/1/2025 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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
(1/28/2016)

Arkansas
(9/8/2022)

Colorado
(6/6/2019)

Florida
(7/31/2009)

Idaho
(10/29/2020)

Illinois
(7/31/2009)

IAR

Illinois
(8/10/2009)

Indiana
(3/29/2011)

Iowa
(3/7/2022)

Kentucky
(6/18/2012)

Michigan
(4/30/2014)

Missouri
(7/31/2009)

New Jersey
(7/31/2009)

New York
(6/10/2025)

North Dakota
(1/10/2024)

Ohio
(6/15/2015)

South Carolina
(5/3/2011)

Tennessee
(1/15/2019)

Texas
(3/25/2021)

Virginia
(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

State Security Law Exam

Series 63

Date: 6/20/1995

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: 9/28/1993

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 6/4/1991

National Commodity Futures Examination

Principal/Supervisory Exam

Series 10

Date: 11/13/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 10/26/2000

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 8/21/1997

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 7/17/1997

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

SMITH, MOORE & CO.

SMITH MOORE & CO. | THE SEVENS ADVISORY GROUP | SMITH, MOORE & CO.

CRD#: 3441 / SEC#: 801-68175, 8-27480

RIA

Registered Investment Advisory firm - SEC (8/8/2007 Approved)

Mississippi

Registered Investment Advisory firm - SEC (5/1/2025 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

7777 Bonhomme Ave., Suite 2400 Suite 2400, Clayton, MO 63105

Mailing Address

7777 Bonhomme Ave., Suite 2400, Clayton, MO 63105

Phone number

(314) 727-5225

Established

Missouri since 12/23/1981

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (36 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

SMITH MOORE BROCHURE 03-31-2025 (3/31/2025)

WRAP PROGRAM BROCHURE 03-31-2025 (3/31/2025)

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	5,353
AUM (Assets Under Management)	$ 2,008,286,156

Disclosures

Regulatory Event	7
Arbitration	2

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Kent C. Schmidt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

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).

Certified licenses

Experience

SMITH, MOORE & CO.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

ROBERT THOMAS SECURITIES, INC

WILMINGTON SECURITIES, INC.

Primary Firm SEC Registration

SMITH, MOORE & CO.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/20/1995

SIE

Date: 10/1/2018

Series 7

Date: 9/28/1993

Series 3

Date: 6/4/1991

Series 10

Date: 11/13/2000

Series 9

Date: 10/26/2000

Series 24

Date: 8/21/1997

Series 4

Date: 7/17/1997

FINRA

Current Firm

SMITH, MOORE & CO.

Contact information

SEC notice filing (36 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

SMITH, MOORE & CO.

TRUST BUT VERIFY

Contact information

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