Connie J. Schmidt

NORTHWEST WEALTH MANAGEMENT

Sioux City, IA 51106

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CRD#: 2515285

Professional summary

Connie Jean Schmidt, who also goes by Connie Jean Clarey, is a registered financial advisor currently at NORTHWEST WEALTH MANAGEMENT, LLC located in Sioux City, Iowa.

Connie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Connie has worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Connie Jean Clarey

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.

NORTHWEST BANK 5801 SUNNYBROOK DRIVE SIOUX CITY, IA 51106 BANK NON-INVESTMENT RELATED 2013 TO PRESENT PRIVATE BANKER, SVP DEVOTES APPROXIMATELY 156 HOURS PER MONTH, 116 OF WHICH ARE DURING SECURITIES TRADING HOURS PRIVATE BANKER FOR HIGHER NET WORTH CLIENTS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Connie Jean 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®

None

Experience

Current

August 25, 2018 - Present

NORTHWEST WEALTH MANAGEMENT, LLC

Office #1: 5801 Sunnybrook Drive, Sioux City, IA 51106

RIA

CRD#: 152816

Sioux City, IA

Past

November 1, 2007 - June 24, 2011

MONEY CONCEPTS CAPITAL CORP

CRD#: 12963

LEMARS, IA

Past

March 27, 2003 - November 8, 2007

CETERA WEALTH SERVICES, LLC

CRD#: 13572

SIOUX CITY, IA

Past

November 27, 1995 - March 31, 2003

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

July 25, 1994 - December 4, 1995

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

NORTHWEST WEALTH MANAGEMENT, LLC

CRD#: 152816 / SEC#: 801-72545

RIA

Registered Investment Advisory firm - (7/5/2011 Approved)

Indiana

Registered Investment Advisory firm - (7/12/2011 Terminated)

Iowa

Registered Investment Advisory firm - (7/18/2011 Terminated)

Nebraska

Registered Investment Advisory firm - (8/31/2011 Terminated)

South Dakota

Registered Investment Advisory firm - (7/12/2011 Terminated)

Texas

Registered Investment Advisory firm - (7/12/2011 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

Iowa
(8/25/2018)

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: 8/25/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/2/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/22/1994

General Securities Representative Examination

Current Firm

NORTHWEST WEALTH MANAGEMENT, LLC

CRD#: 152816 / SEC#: 801-72545

RIA

Registered Investment Advisory firm - (7/5/2011 Approved)

Indiana

Registered Investment Advisory firm - (7/12/2011 Terminated)

Iowa

Registered Investment Advisory firm - (7/18/2011 Terminated)

Nebraska

Registered Investment Advisory firm - (8/31/2011 Terminated)

South Dakota

Registered Investment Advisory firm - (7/12/2011 Terminated)

Texas

Registered Investment Advisory firm - (7/12/2011 Terminated)

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Contact information

Main Address

1607 W. 18th Street, Spencer, IA 51301

Mailing Address

Phone number

(877) 207-0994

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A (3/5/2025)

Regulatory assets under management

Total Number of Accounts	4,063
AUM (Assets Under Management)	$ 865,221,987

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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Advisor Monitoring

Firm Stability Insights

Connie J. Schmidt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Connie Jean Schmidt's CRS (Customer Relationship Summary).

Certified licenses

Experience

MONEY CONCEPTS CAPITAL CORP

CETERA WEALTH SERVICES, LLC

LOCUST STREET SECURITIES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

NORTHWEST WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/25/2018

Series 63

Date: 8/2/1994

Series 7

Date: 7/22/1994

Current Firm

NORTHWEST WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NORTHWEST WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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