Stephen L. Schmidt

MERIDIAN FINANCIAL GROUP

Milwaukie, OR 97222

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CRD#: 2338679

Professional summary

Stephen Lee Schmidt, who also goes by Steve Schmidt, is a registered financial advisor currently at MERIDIAN FINANCIAL GROUP, INC. located in Milwaukie, Oregon and LPL FINANCIAL LLC located in Milwaukie, Oregon.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Stephen has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steve 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. 3/30/2010 - NON-VARIABLE INSURANCE/SELL TERM LIFE INSURANCE, HEALTH INSURANCE, DISABILITY INSURANCE AND FIXED ANNUITIES. 3% OF TIME 2. 6/23/2010 - RIA/MERIDIAN FINANCIAL GROUP, INC./(HYBRID RIA) PROVIDE FINANCIAL PLANS AND ADVICE FOR HOURLY AND FIXED FEES. 2% OF TIME. 3. 10/20/2010 - REAL ESTATE RENTAL, RENTAL HOUSE, 3%. 4. 12/17/2012: DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) / MERIDIAN FINANCIAL GROUP, INC. / MILWAUKIE, OR.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Lee Schmidt's 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

March 24, 2011 - Present

MERIDIAN FINANCIAL GROUP, INC.

Office #1: 4120 Se International Way Suite A209, Milwaukie, OR 97222

RIA

CRD#: 155067

Milwaukie, OR

Current

September 8, 2009 - Present

LPL FINANCIAL LLC

Office #1: 4120 Se Intl. Way, Ste. A209, Milwaukie, OR 97222-8860

RIA

CRD#: 6413

Milwaukie, OR

Past

May 15, 2009 - September 8, 2009

ASSOCIATED SECURITIES CORP.

CRD#: 12969

PORTLAND, OR

Past

October 31, 2005 - May 21, 2009

OSAIC SERVICES, INC.

CRD#: 133763

PORTLAND, OR

Past

February 22, 1999 - October 31, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

April 23, 1993 - February 25, 1999

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

April 23, 1993 - February 25, 1999

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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

Arizona
(5/5/2021)

California
(9/8/2009)

Florida
(1/21/2016)

Georgia
(10/17/2023)

Hawaii
(1/3/2024)

Minnesota
(4/24/2025)

Oregon
(9/8/2009)

IAR

Oregon
(3/24/2011)

Utah
(9/8/2009)

Washington
(9/8/2009)

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

IAR

Series 65

Date: 8/26/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/22/1993

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: 5/25/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/22/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/28/2001

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

MERIDIAN FINANCIAL GROUP, INC.

CRD#: 155067 / SEC#:

Oregon

Registered Investment Advisory firm - (3/24/2011 Approved)

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Contact information

Main Address

4120 Se International Way Suite A209, Milwaukie, OR 97222

Mailing Address

Phone number

(503) 235-8174

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	164
AUM (Assets Under Management)	$ 83,658,659

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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Firm Stability Insights

Stephen L. Schmidt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Lee Schmidt's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

ASSOCIATED SECURITIES CORP.

OSAIC SERVICES, INC.

SUNAMERICA SECURITIES, INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/26/1999

Series 63

Date: 4/22/1993

SIE

Date: 10/1/2018

Series 7

Date: 5/25/1999

Series 6

Date: 4/22/1993

Series 24

Date: 11/28/2001

FINRA

Current Firm

MERIDIAN FINANCIAL GROUP, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MERIDIAN FINANCIAL GROUP, INC.

TRUST BUT VERIFY

Contact information

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