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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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DS

Darin M. Schmidt

SCHMIDT WEALTH MANAGEMENT, L.L.C.
Lawrenceburg, IN 47025
Some features on this profile are disabled
CRD#: 4380578
DS

Professional summary

Darin Michael Schmidt is a registered financial advisor currently at SCHMIDT WEALTH MANAGEMENT, L.L.C. located in Lawrenceburg, Indiana.

Darin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Darin has worked at 7 firms and has passed the Series 66, 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Darin Michael Schmidt'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®
None

Experience

Current

August 24, 2023 - Present

SCHMIDT WEALTH MANAGEMENT, L.L.C.

Office #1: 1210 W. Eads Parkway, Lawrenceburg, IN 47025
RIA
CRD#: 328084
Lawrenceburg, IN
Past

March 22, 2022 - August 25, 2023

SILVER OAK SECURITIES, INCORPORATED

RIA
CRD#: 46947
Florence, KY
Past

March 22, 2022 - August 25, 2023

SILVER OAK SECURITIES, INCORPORATED

BD
CRD#: 46947
Florence, KY
Past

December 18, 2015 - April 19, 2022

AUSDAL FINANCIAL PARTNERS, INC.

RIA
CRD#: 7995
Florence, KY
Past

December 18, 2015 - April 19, 2022

AUSDAL FINANCIAL PARTNERS, INC.

BD
CRD#: 7995
Florence, KY
Past

January 17, 2008 - December 21, 2015

CETERA ADVISORS LLC

RIA
CRD#: 10299
FLORENCE, KY
Past

January 1, 2004 - December 21, 2015

CETERA ADVISORS LLC

BD
CRD#: 10299
FLORENCE, KY
Past

May 8, 2003 - December 31, 2005

NEW LIGHT INVESTMENT ADVISORS, LLC

RIA
CRD#: 125044
FORT MITCHELL, KY
Past

July 5, 2002 - December 31, 2003

CETERA ADVISORS LLC

BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past

November 21, 2001 - January 1, 2004

VESTAX SECURITIES CORPORATION

BD
CRD#: 10332
HUDSON, OH
Past

May 11, 2001 - October 19, 2001

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY

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.

Highlighted states indicate IAR registrations

IAR
Indiana
(8/24/2023)
IAR
Kentucky
(11/7/2023)
IAR
Ohio
(8/24/2023)
IAR
Texas
(5/1/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/24/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/10/2001
General Securities Representative Examination

Current Firm

SW
SCHMIDT WEALTH MANAGEMENT, L.L.C.
SCHMIDT WEALTH MANAGEMENT, L.L.C. | SCHMIDT WEALTH MANAGEMENT, LLC

CRD#: 328084 / SEC#:

Indiana
Registered Investment Advisory firm - (8/15/2023 Approved)
Kentucky
Registered Investment Advisory firm - (11/7/2023 Approved)
Ohio
Registered Investment Advisory firm - (8/14/2023 Approved)
Texas
Registered Investment Advisory firm - (5/1/2025 Conditional Restricted)
PREMIUM
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1210 W. Eads Parkway, Lawrenceburg, IN 47025
Mailing Address
Phone number
(513) 305-1896
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts410
AUM (Assets Under Management)$ 53,036,000

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.

Company Information

SCHMIDT WEALTH MANAGEMENT, L.L.C.

CRD#: 328084Lawrenceburg, IN 47025

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