SS
Sarah M. Schmitz
PRINCIPAL SECURITIES
Scottsdale, AZ
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CRD#: 3138476
SS
Professional summary
Sarah Marie Schmitz, AIF®, who also goes by Sarah Marie Eiten Miss, Sarah Marie Schmitz Mrs., is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Scottsdale, Arizona.
Sarah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Sarah has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sarah Marie Eiten Miss | Sarah Marie Schmitz Mrs.
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.
**Outside insurance, sales and service of fixed life insurance, fixed annuities, long term care insurance and disability insurance through various carriers, 9/21/15. **Fixed Insurance; Investment Related; 4600 S Syracuse, Ste 1000, Denver, CO 80237; Group Benefits; Sales; Start Date: 01/18/2018; 10 hrs per month; 10 during trading hours. **VETRANO FINANCIAL SERVICES (DBA) POSITION: Director, Retirement Plan Solutions NATURE: Retirement Plan Consulting, Employee Benefits Consulting, Financial Planning, Seminars/Educational Workshops, Insurance/Annuities INVESTMENT RELATED: Yes NUMBER OF HOURS: 180 SECURITIES TRADING HOURS: 40 START DATE: 03/25/2025 ADDRESS: 7498 N. LaCholla Blvd, Tucson AZ 85741, United States DESCRIPTION: Retirement Plan Consulting, Employee Benefits Consulting, Financial Planning, Seminars/Educational Workshops, Insurance/Annuities.
CRS (Client Relationship Summary) - RIA
Click below to view Sarah Marie Schmitz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sarah Marie Schmitz's 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®
Experience
Current
September 21, 2015 - Present
PRINCIPAL SECURITIES, INC.
Office #3: 7498 N La Cholla Blvd, Tucson, AZ 85741RIA
BD
CRD#: 1137
Scottsdale, AZ
Current
September 2, 2015 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 7498 N La Cholla Blvd, Tucson, AZ 85741RIA
BD
CRD#: 1137
Tucson, AZ
Past
June 23, 2015 - September 1, 2015
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
WESTLAKE, TX
Past
April 1, 2013 - May 12, 2015
GILL CAPITAL PARTNERS, LLC
BD
CRD#: 14559
DENVER, CO
Past
March 1, 2013 - May 12, 2015
GILL CAPITAL PARTNERS, LLC
RIA
CRD#: 14559
DENVER, CO
Past
December 2, 2009 - April 1, 2011
TRUENORTH, INC.
RIA
CRD#: 110198
WICHITA, KS
Past
December 2, 2009 - April 1, 2011
IMA WEALTH
BD
CRD#: 112091
DENVER, CO
Past
September 24, 2008 - October 30, 2008
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
DES MOINES, IA
Past
February 16, 2007 - October 30, 2008
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
May 1, 2006 - May 16, 2006
OSAIC SERVICES, INC.
BD
CRD#: 133763
DENVER, CO
Past
May 16, 2003 - December 31, 2005
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
March 7, 2001 - October 16, 2002
GPC SECURITIES, INC.
BD
CRD#: 14007
ATLANTA, GA
Past
October 30, 1998 - March 30, 2001
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
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".
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
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.RR
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
RR
Arizona(10/28/2015)
IAR
Arizona(3/27/2025)
RR
California(10/22/2015)
RR
Colorado(9/2/2015)
IAR
Colorado(4/8/2025)
RR
Florida(11/18/2021)
RR
Georgia(4/23/2025)
RR
Indiana(10/28/2015)
RR
Montana(10/28/2015)
RR
Nevada(3/28/2016)
RR
New Mexico(10/28/2015)
RR
Ohio(12/9/2021)
RR
Pennsylvania(1/19/2018)
RR
Texas(10/28/2015)
IAR
Texas(6/17/2021)
RR
Utah(5/10/2018)
RR
Wyoming(10/28/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
Principal Financial Group 711 High Street, Des Moines, IA 50392-2080
Phone number
(888) 774-6267
Established
Iowa since 05/01/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,436
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
