Andrew W. Schmitt

SCHMITT WEALTH ADVISERS

CINCINNATI, OH 45242

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CRD#: 2261271

Professional summary

Andrew William Schmitt, who also goes by Andy William Schmitt, is a registered financial advisor currently at SCHMITT WEALTH ADVISERS, LLC located in Cincinnati, Ohio.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Andrew has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Andy William Schmitt

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew William Schmitt'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

August 4, 2015 - Present

SCHMITT WEALTH ADVISERS, LLC

Office #1: 4555 Lake Forest Drive Suite 235, Cincinnati, OH 45242

RIA

CRD#: 174958

CINCINNATI, OH

Past

October 11, 2007 - August 27, 2015

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

CINCINNATI, OH

Past

September 27, 2007 - August 27, 2015

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

CINCINNATI, OH

Past

June 28, 1999 - October 2, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CINCINNATI, OH

Past

September 10, 1992 - October 2, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CINCINNATI, OH

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".

SCHMITT WEALTH ADVISERS, LLC

SCHMITT WEALTH ADVISERS, LLC | THORNWOOD WEALTH ADVISORS, LLC

CRD#: 174958 / SEC#: 801-132291

RIA

Registered Investment Advisory firm - (3/31/2025 Approved)

Kentucky

Registered Investment Advisory firm - (4/2/2025 Terminated)

Ohio

Registered Investment Advisory firm - (4/2/2025 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.

Highlighted states indicate IAR registrations

IAR

Kentucky
(11/2/2015)

IAR

Ohio
(8/4/2015)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/2/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/17/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/27/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/9/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 10/12/2011

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 6/29/2011

General Securities Sales Supervisor - Options Module Examination

Current Firm

SCHMITT WEALTH ADVISERS, LLC

SCHMITT WEALTH ADVISERS, LLC | THORNWOOD WEALTH ADVISORS, LLC

CRD#: 174958 / SEC#: 801-132291

RIA

Registered Investment Advisory firm - (3/31/2025 Approved)

Kentucky

Registered Investment Advisory firm - (4/2/2025 Terminated)

Ohio

Registered Investment Advisory firm - (4/2/2025 Terminated)

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Contact information

Main Address

4555 Lake Forest Drive Suite 235, Cincinnati, OH 45242

Mailing Address

Phone number

(513) 813-1580

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SCHMITT WEALTH ADVISERS 2A BROCHURE (2/28/2025)

Regulatory assets under management

Total Number of Accounts	301
AUM (Assets Under Management)	$ 117,754,806

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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Andrew W. Schmitt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew William Schmitt's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

SCHMITT WEALTH ADVISERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/2/1993

Series 63

Date: 9/17/1992

SIE

Date: 8/27/2015

Series 7

Date: 9/9/1992

Series 10

Date: 10/12/2011

Series 9

Date: 6/29/2011

Current Firm

SCHMITT WEALTH ADVISERS, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SCHMITT WEALTH ADVISERS, LLC

TRUST BUT VERIFY

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