Christopher C. Schmauch

WELLS FARGO ADVISORS FINANCIAL NETWORK

GREENSBURG, PA 15601

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CRD#: 2993149

Professional summary

Christopher Carl Schmauch, who also goes by Chris Carl Schmauch, is a registered financial advisor currently at WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC located in Greensburg, Pennsylvania.

Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Christopher has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chris Carl Schmauch

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.

POWER OF ATTORNEY FOR MOTHER; INV. RELATED; ALEXANDRIA, KT; START 9/1/2020; 1 HR PER MONTH; 1 HR DURING TRADING.| CHRISTOPHER C. SCHMAUCH LLC, INV RELATED, LATROBE, PA, 100% OWNERSHIP, START 4/1/2024, 5 HOURs PER MONTH, 0 DURING TRADING, FINET PRACTICE.| HIGHLANDS WEALTH MANAGEMENT LLC, INV RELATED, GREENSBURG, PA, 38% OWNERSHIP, START 4/1/2024, 60 HOURS PER MONTH, 10 HOURS DURING TRADING, FINET PRACTICE.| TRUSTEE OF MOTHER'S TRUST; INV. RELATED; NOKOMIS, FL; START DATE 9/17/2020; 1 HR PER MONTH; 0 HRS DURING TRADING.| LAND RENTAL; INV. RELATED; SHELOCTA, PA; CO-OWNER; LAND LEASED FOR SOLAR PANELS; START DATE: 2/1/2017; 1 HR PER MONTH; 0 HRS DURING TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Carl Schmauch's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Christopher Carl Schmauch's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

CRD#: 8174

GREENSBURG, PA

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".

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025 / SEC#: 801-57434, 8-28721

RIA

Registered Investment Advisory firm - SEC (4/3/2000 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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

Alaska
(8/1/2024)

Arizona
(7/19/2024)

California
(7/19/2024)

Colorado
(7/19/2024)

Delaware
(7/19/2024)

District of Columbia
(7/19/2024)

Florida
(7/19/2024)

Georgia
(7/22/2024)

Indiana
(7/23/2024)

Kansas
(7/19/2024)

Kentucky
(11/14/2024)

Maryland
(7/19/2024)

Massachusetts
(7/22/2024)

Michigan
(7/19/2024)

Missouri
(7/19/2024)

New Jersey
(7/19/2024)

New Mexico
(7/19/2024)

New York
(7/19/2024)

North Carolina
(7/19/2024)

Ohio
(7/19/2024)

Pennsylvania
(7/22/2024)

IAR

Pennsylvania
(7/22/2024)

Rhode Island
(7/19/2024)

South Carolina
(7/23/2024)

Tennessee
(7/19/2024)

Texas
(7/19/2024)

IAR

Texas
(7/19/2024)

Utah
(7/22/2024)

Virginia
(7/19/2024)

West Virginia
(7/19/2024)

Wisconsin
(3/4/2025)

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: 3/2/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/23/1998

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: 2/17/1998

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025 / SEC#: 801-57434, 8-28721

RIA

Registered Investment Advisory firm - SEC (4/3/2000 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

One North Jefferson Avenue Mail Code: H0004-05e, St. Louis, MO 63103-2205

Mailing Address

One North Jefferson Avenue H0004-05c, St. Louis, MO 63103

Phone number

(314) 875-3000

Established

Delaware since 03/12/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

3,658

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

WFAFN - WRAP FEE BROCHURE ADVISORY PROGRAMS (9/22/2025)

WFAFN - PART 2A - RETIREMENT PLAN CONSULTING (9/22/2025)

FEE-BASED PLANNING SERVICES (9/2/2025)

WFAFN - PART 2A - INSTITUTIONAL CONSULTING (8/4/2025)

Direct owners and executive officers

Name	Position	CRD#
WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC	SOLE MEMBER
CRAVEN, JAMES J	BOARD OF MANAGERS	4323533
GINDI, SOL	BOARD OF MANAGERS	4903526
KARANIK, ERIK ANTHONY	CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS	2260890
LACEY, PAUL	PRINCIPAL OPERATIONS OFFICER/CONTROL PRINCIPAL	5616656
MARKMANN, DAVID FRANZ	DESIGNATED TEXAS OFFICER	2637778
PATEL, RAKESH	CHIEF FINANCIAL OFFICER	5385585
SANKOVICH, PAUL CAMERON	CHIEF COMPLIANCE OFFICER	2475029
TA, KIMBERLY CROWDER	BOARD OF MANAGERS/CONTROL PRINCIPAL	4717506
TYERS, JOHN R	PRESIDENT/BOARD OF MANAGERS/CONTROL PRINCIPAL	2632380

Regulatory assets under management

Total Number of Accounts	401,726
AUM (Assets Under Management)	$ 197,360,196,619

Disclosures

Regulatory Event	35
Arbitration	39

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/24/2025	Cover Page	Report
12/11/2023	Cover Page	Report
02/17/2023	Cover Page	Report

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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Christopher C. Schmauch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Carl Schmauch's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Christopher Carl Schmauch's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MORGAN STANLEY

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MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/2/1998

Series 63

Date: 2/23/1998

SIE

Date: 10/1/2018

Series 7

Date: 2/17/1998

FINRA

Current Firm

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

TRUST BUT VERIFY

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