Darin M. Schmidt

SCHMIDT WEALTH MANAGEMENT, L.L.C.

Lawrenceburg, IN 47025

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CRD#: 4380578

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.

1.) "Schmidt Wealth Management, LLC", Is Not Investment Related, Tax Preparation Services, Owner, 2001-11-01, 12 hours per month, 4 hours per month during trading hours, Hourly Compensation, "Provide Basic Tax Preparation and Planning Services. Majority of work is done January 1st to April 15th, filing and billing clients for Federal, State, and Local tax returns." 2.) "Schmidt Wealth Management, LLC", Is Not Investment Related, Insurance Sales, Owner, 2001-01-01, 8 hours per month, 4 hours per month during trading hours, Commission Compensation, "Provide Insurance Related Products such as Life, Disability, Long-Term Care, Health and Fixed Annuity Products."

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

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.

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

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

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

November 21, 2001 - January 1, 2004

VESTAX SECURITIES CORPORATION

CRD#: 10332

HUDSON, OH

Past

May 11, 2001 - October 19, 2001

EQUITABLE ADVISORS, LLC

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)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/24/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/10/2001

General Securities Representative Examination

Current Firm

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)

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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

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	410
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.

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Firm Stability Insights

Darin M. Schmidt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Darin Michael Schmidt's CRS (Customer Relationship Summary).

Certified licenses

Experience

SILVER OAK SECURITIES, INCORPORATED

SILVER OAK SECURITIES, INCORPORATED

AUSDAL FINANCIAL PARTNERS, INC.

AUSDAL FINANCIAL PARTNERS, INC.

CETERA ADVISORS LLC

CETERA ADVISORS LLC

NEW LIGHT INVESTMENT ADVISORS, LLC

CETERA ADVISORS LLC

VESTAX SECURITIES CORPORATION

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/24/2001

SIE

Date: 10/1/2018

Series 7

Date: 5/10/2001

Current Firm

SCHMIDT WEALTH MANAGEMENT, L.L.C.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SCHMIDT WEALTH MANAGEMENT, L.L.C.

TRUST BUT VERIFY

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