Brian T. Schmidt

AVANTAX PLANNING PARTNERS

DALLAS, TX 75019

Some features on this profile are disabled

CRD#: 3014443

Professional summary

Brian Thomas Schmidt, CFP® is a registered financial advisor currently at AVANTAX PLANNING PARTNERS, INC. located in Dallas, Texas and CETERA INVESTMENT ADVISERS LLC located in Dallas, Texas.

Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Brian has worked at 13 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1)FIA POSITION: Registered Rep NATURE: One time purchase of fixed indexed annuity. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/15/2024 ADDRESS: 3200 Olympus Blvd., Suite 100, Dallas TX 75019, United States DESCRIPTION: One time purchase of fixed indexed annuity. 2) AVANTAX INSURANCE AGENCY AND/OR AVANTAX INSURANCE SERVICES POSITION: Agent NATURE: Avantax Insurance Entities for selling Avantax approved Insurance products. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/25/2015 ADDRESS: 3200 Olympus Blvd., Suite 100, Dallas TX 75019, United States DESCRIPTION: Offer and sale of insurance products through Avantax Insurance Entities that are approved through Avantax featured partners.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Thomas 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®

CFP^®

Certified Financial Planner

Experience

Current

March 18, 2021 - Present

AVANTAX PLANNING PARTNERS, INC.

Office #1: 3200 Olympus Blvd Suite 100, Dallas, TX 75019

RIA

CRD#: 106237

DALLAS, TX

Current

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 3200 Olympus Blvd Suite 100, Dallas, TX 75019

RIA

CRD#: 105644

DALLAS, TX

Current

April 2, 2025 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019

CRD#: 15340

DALLAS, TX

Current

April 2, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019Office #2: 3200 Olympus Blvd Suite 100, Dallas, TX 75019

CRD#: 13572

DALLAS, TX

Current

April 2, 2025 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019

CRD#: 10358

DALLAS, TX

Current

April 2, 2025 - Present

CETERA ADVISORS LLC

Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019

CRD#: 10299

DALLAS, TX

Past

April 8, 2015 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

CARROLLTON, TX

Past

February 3, 2015 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

August 22, 2014 - September 30, 2014

E*TRADE SECURITIES LLC

CRD#: 29106

DALLAS, TX

Past

April 26, 2005 - February 1, 2006

FIDELITY PERSONAL TRUST COMPANY, FSB

RIA

CRD#: 109516

WESTLAKE, TX

Past

May 21, 2002 - July 9, 2014

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

WESTLAKE, TX

Past

July 17, 2000 - July 9, 2014

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

WESTLAKE, TX

Past

March 25, 1999 - May 26, 2000

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

April 9, 1998 - March 2, 1999

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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

IAR

Texas
(3/18/2021)

Texas
(9/5/2025)

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 66

Date: 5/10/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/22/1998

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: 4/8/1998

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	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.

Similar Advisors

David Alvarez

EDWARD JONES

IAR

Grapevine, TX

Sean Leonard

LPL FINANCIAL LLC

IAR

Hurst, TX

Kerry Prazak

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

IAR

SOUTHLAKE, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Brian T. Schmidt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Thomas Schmidt's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

CETERA WEALTH SERVICES, LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

E*TRADE SECURITIES LLC

FIDELITY PERSONAL TRUST COMPANY, FSB

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

BANC ONE SECURITIES CORPORATION

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/10/2002

Series 63

Date: 4/22/1998

SIE

Date: 10/1/2018

Series 7

Date: 4/8/1998

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Similar Advisors