MS
Michael J. Schmitz
SCHMITZ CAPITAL PARTNERS
Mill Valley, CA 94941
Some features on this profile are disabled
CRD#: 4223919
MS
Professional summary
Michael Joseph Schmitz is a registered financial advisor currently at SCHMITZ CAPITAL PARTNERS, LLC located in Mill Valley, California and OSAIC WEALTH, INC. located in Mill Valley, California.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Michael has worked at 4 firms and has passed the Series 65, 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) SCHMITZ CAPITAL PARTNERS, LLC POSITION: Vice President - Investments & COO NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 180 SECURITIES TRADING HOURS: 140 START DATE: 12/30/2008 ADDRESS: 655 Redwood Highway, Suite 109, Mill Valley CA 94941, United States DESCRIPTION: Investment Adviosry Services, General Operations (Technology, Marketing, etc.) 2) MICHAEL JOSEPH SCHMITZ POSITION: Other - Insuance Agent NATURE: Sole Proprietorship/Individual Insurance Agent INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 03/17/2010 ADDRESS: 655 Redwood Highway, Suite 109, MIll Valley CA 94941, United States DESCRIPTION: I'm licensed to offer insurance and annuities to clients (fixed, variable, life, health, disability, long-term care etc.)
CRS (Client Relationship Summary) - RIA
Click below to view Michael Joseph 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®
NoneExperience
Current
April 3, 2009 - Present
SCHMITZ CAPITAL PARTNERS, LLC
Office #1: 655 Redwood Hwy Ste 109, Mill Valley, CA 94941RIA
CRD#: 105702
Mill Valley, CA
Current
February 5, 2009 - Present
OSAIC WEALTH, INC.
Office #1: 655 Redwood Highway Suite 109, Mill Valley, CA 94941RIA
BD
CRD#: 23131
Mill Valley, CA
Past
March 13, 2006 - April 16, 2009
GROWTH CAPITAL SERVICES, INC.
BD
CRD#: 124658
SAN FRANCISCO, CA
Past
March 15, 2004 - November 4, 2005
GFP BROKER-DEALER, INC.
BD
CRD#: 104441
SAN FRANCISCO, CA
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".
SC
SCHMITZ CAPITAL PARTNERS, LLC
SCHMITZ & ASSOCIATES | SCHMITZ STEVEN JOSEPH | SCHMITZ CAPITAL PARTNERS, LLC | SCHMITZ CAPITAL PARTNERS
CRD#: 105702 / SEC#: 801-33527
RIA
Registered Investment Advisory firm - (12/23/1988 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.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(1/22/2013)
RR
California(2/5/2009)
IAR
California(4/3/2009)
RR
Connecticut(9/23/2025)
RR
Florida(6/17/2013)
RR
Hawaii(12/13/2021)
RR
Louisiana(9/20/2021)
RR
Massachusetts(4/24/2014)
RR
New Jersey(11/11/2009)
RR
New York(1/7/2011)
RR
North Carolina(10/28/2011)
RR
Oregon(12/15/2011)
RR
Texas(2/23/2021)
RR
Washington(1/29/2020)
RR
Wisconsin(11/19/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SC
SCHMITZ CAPITAL PARTNERS, LLC
SCHMITZ & ASSOCIATES | SCHMITZ STEVEN JOSEPH | SCHMITZ CAPITAL PARTNERS, LLC | SCHMITZ CAPITAL PARTNERS
CRD#: 105702 / SEC#: 801-33527
RIA
Registered Investment Advisory firm - (12/23/1988 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
655 Redwood Hwy Ste 109, Mill Valley, CA 94941
Mailing Address
Phone number
(415) 381-9075
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 311 |
| AUM (Assets Under Management) | $ 125,327,234 |
Red Flags
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Company Information
SCHMITZ CAPITAL PARTNERS, LLC
CRD#: 105702Mill Valley, CA 94941TRUST BUT VERIFY
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