Kerry J. Schmitz
DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS
Buffalo, MN 55313
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CRD#: 4440055
Professional summary
Kerry Jeanne Schmitz, CFP®, who also goes by Kerry Jeanne Shea, Kerry Jeanne Shea, is a registered financial advisor currently at DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC. located in Buffalo, Minnesota and INDEPENDENT FINANCIAL GROUP, LLC located in Buffalo, Minnesota.
Kerry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Kerry has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kerry Jeanne Shea | Kerry Jeanne Shea
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) DOUGHERTY & ASSOICIATES FINANCIAL ADVISORS, INC. POSITION: Independent Contractor NATURE: Outside Registered Investment Advisor/Outside IAR INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 01/01/2013 ADDRESS: 103 Marty Drive, Suite 101, Buffalo MN 55313, United States DESCRIPTION: INVESTMENT ADVISOR REPRESENTATIVE FOR DOUGHERTY & ASSOICIATES FINANCIAL ADVISORS, INC. A REGISTERED INVESTMENT ADVISER. (2) INSURANCE POSITION: Independent Contractor NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2013 ADDRESS: 103 Marty Drive, Suite 101, Buffalo MN 55313, United States DESCRIPTION: MN INSURANCE AGENT OFFERING SALES OF VARIOUS INSURANCE PRODUCTS.
CRS (Client Relationship Summary) - RIA
Click below to view Kerry Jeanne Schmitz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kerry Jeanne 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®
CFP®
Start date: 2010
Experience
Current
December 23, 2013 - Present
DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.
Office #1: 103 Marty Drive Suite 101, Buffalo, MN 55313RIA
CRD#: 165145
Buffalo, MN
Current
February 6, 2015 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 103 Marty Drive, Suite 101, Buffalo, MN 55313RIA
BD
CRD#: 7717
Buffalo, MN
Current
January 2, 2013 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 103 Marty Drive, Suite 101, Buffalo, MN 55313RIA
BD
CRD#: 7717
Buffalo, MN
Past
January 3, 2013 - December 31, 2014
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
SAN DIEGO, CA
Past
April 2, 2003 - January 8, 2013
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
MINNEAPOLIS, MN
Past
January 20, 2003 - January 8, 2013
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
MINNEAPOLIS, MN
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".
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles 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
Minnesota(1/2/2013)
IAR
Minnesota(12/23/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Mailing Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Phone number
(858) 436-3180
Established
Delaware since 07/09/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
622
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 44,046 |
| AUM (Assets Under Management) | $ 11,322,059,063 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 1 |
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.
