Michael S. Schmidt

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CRD#: 2632498

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.

Michael Steven Schmidt, who also goes by Mike Schmidt, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1996. Michael had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6, Series 51 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mike 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.

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

September 23, 2015 - January 5, 2024

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

Ormond Beach, FL

Past

September 23, 2015 - January 5, 2024

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

Overland Park, KS

Past

January 2, 2014 - October 3, 2014

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

LEAWOOD, KS

Past

January 2, 2014 - October 3, 2014

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

LEAWOOD, KS

Past

October 30, 2013 - December 10, 2013

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

OVERLAND PARK, KS

Past

August 15, 2013 - December 10, 2013

PRUCO SECURITIES, LLC.

CRD#: 5685

OVERLAND PARK, KS

Past

February 15, 2011 - August 16, 2013

NYLIFE SECURITIES LLC

CRD#: 5167

OVERLAND PARK, KS

Past

December 2, 2005 - February 26, 2008

NATIONWIDE SECURITIES, LLC

CRD#: 11173

OVERLAND PARK, KS

Past

June 10, 1998 - July 17, 1998

DST SECURITIES, INC.

CRD#: 8129

KANSAS CITY, MO

Past

February 26, 1996 - November 12, 1996

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

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".

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 Approved)

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.

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

Series 63

Date: 11/21/2013

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/4/2013

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/26/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/14/2011

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 1/15/2016

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 10/1/2013

Investment Company Products/Variable Contracts Principal Examination

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 Approved)

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Contact information

Main Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Mailing Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Phone number

(877) 232-2142

Established

Firm type

Fiscal year end

# of Employees

337

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AFA FORM ADV FIRM BROCHURE 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	280
AUM (Assets Under Management)	$ 82,015,793

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

Michael S. Schmidt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALLSTATE FINANCIAL SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

NYLIFE SECURITIES LLC

NATIONWIDE SECURITIES, LLC

DST SECURITIES, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

ALLSTATE FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/21/2013

Series 65

Date: 9/4/2013

SIE

Date: 10/1/2018

Series 7

Date: 6/26/2013

Series 6

Date: 2/14/2011

Series 51

Date: 1/15/2016

Series 26

Date: 10/1/2013

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLSTATE FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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