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Philip N. Schmitt

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CRD#: 2621027
PS

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Philip Neil Schmitt was a registered financial professional .

Philip is a previously registered financial professional and started their career in finance in 1997. Philip had worked at 11 firms and has passed the Series 65, Series 66, Series 63, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 14, 2013 - March 6, 2014

THE INVESTMENT COUNSEL COMPANY OF NEVADA

RIA
CRD#: 19608
LAS VEGAS, NV
Past

April 2, 2012 - May 15, 2013

CONFLUENCE WEALTH MANAGEMENT LLC

RIA
CRD#: 107810
PORTLAND, OR
Past

February 12, 2003 - July 8, 2005

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
PORTLAND, OR
Past

January 30, 2003 - July 8, 2005

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

August 22, 2001 - January 22, 2003

SEATTLE-NORTHWEST SECURITIES CORPORATION

BD
CRD#: 10639
SEATTLE, WA
Past

April 6, 2001 - August 9, 2001

PHILLIPS & COMPANY

BD
CRD#: 35800
PORTLAND, OR
Past

January 2, 2001 - April 10, 2001

PRIVATE CONSULTING GROUP, INC.

BD
CRD#: 45053
PORTLAND, OR
Past

September 22, 2000 - December 31, 2000

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
AUSTIN, TX
Past

January 14, 1999 - June 25, 1999

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

January 14, 1999 - June 25, 1999

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

December 10, 1997 - January 5, 1999

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

July 25, 1997 - August 5, 1997

FSC SECURITIES CORPORATION

BD
CRD#: 7461
ATLANTA, GA

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".
TI
THE INVESTMENT COUNSEL COMPANY OF NEVADA
FIDELITY FINANCIAL GROUP, INC. | THE INVESTMENT COUNSEL COMPANY OF NEVADA | THE INVESTMENT COUNSEL COMPANY

CRD#: 19608 / SEC#: 801-32353, 8-37685

RIA
Registered Investment Advisory firm - SEC (8/5/1988 Approved)
BD
Terminated by SEC on 03/07/2011

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/30/2012
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 2/6/2003
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/29/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 1/26/1998
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 7/24/1997
General Securities Representative Examination

Current Firm

TI
THE INVESTMENT COUNSEL COMPANY OF NEVADA
FIDELITY FINANCIAL GROUP, INC. | THE INVESTMENT COUNSEL COMPANY OF NEVADA | THE INVESTMENT COUNSEL COMPANY

CRD#: 19608 / SEC#: 801-32353, 8-37685

RIA
Registered Investment Advisory firm - SEC (8/5/1988 Approved)
BD
Terminated by SEC on 03/07/2011
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Contact information

Main Address
10000 W. Charleston Blvd. Suite 280, Las Vegas, NV 89135
Mailing Address
Phone number
(702) 871-8510
Established
Nevada since 03/26/1987
Firm type
Other Types of Legal Formation
Fiscal year end
December
# of Employees
15

SEC notice filing (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV BROCHURE (3/29/2025)

Direct owners and executive officers

NamePositionCRD#
GARCIA FAMILY TRUST DTD 8/29/91, RANDY A. GARCIA & STACI R. GARCIA TTEESTRUST
GARCIA, RANDY ANTHONYDIRECTOR862041
PARKER, WILHAMINA KATHLEEN ROPEROPRESIDENT / CHIEF COMPLIANCE OFFICER2908023
STACI ROBERTS GARCIADIRECTOR

Regulatory assets under management

Total Number of Accounts2,306
AUM (Assets Under Management)$ 1,838,311,006

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.

Company Information

THE INVESTMENT COUNSEL COMPANY OF NEVADA

CRD#: 19608

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