Stephen David Schmidt
Professional Summary
Stephen David Schmidt, who also goes by Stephen D. Schmidt, is a registered financial advisor currently at INNOVA WEALTH PARTNERS, LLC located in Newtown, Pennsylvania. Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Stephen has worked at 8 firms and has passed the Series 65, Series 63, Series 31, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Stephen D. Schmidt
Similar Advisors
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
DUCHARME WEALTH ADVISORS, LLC
PURPOSE BUILT
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
DUCHARME WEALTH ADVISORS, LLC
PURPOSE BUILT
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
DUCHARME WEALTH ADVISORS, LLC
PURPOSE BUILT
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
DUCHARME WEALTH ADVISORS, LLC
PURPOSE BUILT
Years of Experience
25 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
DUCHARME WEALTH ADVISORS, LLC
PURPOSE BUILT
Current Firm
FOSTER, IAN | SECKEL CAPITAL ADVISORS, LLC | INNOVA WEALTH PARTNERS, LLC
Contact Information
Main Address
12 Terry Drive Suite 203, Newtown, PA 18940Phone Number
(888) 270-1574# of Employees
6SEC notice filing (12 States and Territories)
Registered to provide investment advisory services in 12 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
521AUM (Assets Under Management)
$288,186,234Similar Advisors
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
DUCHARME WEALTH ADVISORS, LLC
PURPOSE BUILT
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
DUCHARME WEALTH ADVISORS, LLC
PURPOSE BUILT
Primary Firm SEC Registration
FOSTER, IAN | SECKEL CAPITAL ADVISORS, LLC | INNOVA WEALTH PARTNERS, LLC
State Registrations and Notice Filings
(10/16/2013)
(12/4/2013)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Oct 2001About the Series 6 examSimilar Advisors
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
DUCHARME WEALTH ADVISORS, LLC
PURPOSE BUILT
CRS (Client Relationship Summary) - RIA
Click below to view Stephen David Schmidt's CRS (Customer Relationship Summary).
Similar Advisors
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
DUCHARME WEALTH ADVISORS, LLC
PURPOSE BUILT