KS
Kevin R. Schmitt
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CRD#: 4613900
KS
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kevin Ronald Schmitt, CFP® was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2003. Kevin had worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
HONKAMP KRUEGER & CO. - DBA AND INSURANCE
POSITION: CPA NATURE: CPA FIRM INVESTMENT RELATED: NO HOURS: 160 INVESTMENT RELATED HOURS: 130 START DATE: 12/03/1984
ADDRESS: 2345 JFK ROAD, DUBUQUE IA 52002
DESCRIPTION: CPA
HONKAMP KRUEGER FINANCIAL SERVICES
POSITION: INSURANCE AGENT NATURE: FINANCIAL SERVICES INVESTMENT RELATED: YES HOURS: 10 INVESTMENT RELATED HOURS: 0 START DATE: 02/27/2003
ADDRESS: 2355 JFK ROAD, DUBUQUE IA 52002
DESCRIPTION: INSURANCE AGENT
HONKAMP KRUEGER FINANCIAL SERVICES
POSITION: IAR/SHAREHOLDER NATURE: FINANCIAL SERVICES INVESTMENT RELATED: YES HOURS: 15 INVESTMENT RELATED HOURS: 15 START DATE: 02/27/2003
ADDRESS: 2355 JFK ROAD, DUBUQUE IA 52002
DESCRIPTION: IAR
HONKAMP KRUEGER & CO.
POSITION: CPA NATURE: CPA FIRM INVESTMENT RELATED: NO HOURS: 5 INVESTMENT RELATED HOURS: 5 START DATE: 12/03/1984
ADDRESS: 2345 JFK ROAD, DUBUQUE IA 52002
DESCRIPTION: CPA
HKFS BUILDING CORP
POSITION: OWNER NATURE: REAL ESTATE INVESTMENT RELATED: NO NUMBER OF HOURS: 0 INVESTMENT RELATED HOURS: 0 START DATE: 12/01/2011
ADDRESS: 3390 ASBURY, DUBUQUE IA 52002
DESCRIPTION: LANDLORD
CANNON ROAD LLC
POSITION: owner NATURE: real estate rental INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2016
ADDRESS: 12066 tyra lane, Dubuque IA 52003, United States
DESCRIPTION: Renting of farm ground
BUDOBU, LLC
POSITION: owner NATURE: real estate rental INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/05/2007
ADDRESS: 12066 Tyra Lane, Dubuque IA 52003, United States
DESCRIPTION: renting of real estate
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Past
June 12, 2003 - November 1, 2023
AVANTAX PLANNING PARTNERS, INC.
RIA
CRD#: 106237
DUBUQUE, IA
Past
January 29, 2003 - October 1, 2020
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
DUBUQUE, IA
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".
AP
AVANTAX PLANNING PARTNERS, INC.
AVANTAX PLANNING PARTNERS, INC. | HONKAMP KRUEGER FINANCIAL SERVICES INC | HK FINANCIAL SERVICES | AVANTAX RETIREMENT PLAN SERVICES
CRD#: 106237 / SEC#: 801-50939
RIA
Registered Investment Advisory firm - (1/17/1996 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
AP
AVANTAX PLANNING PARTNERS, INC.
AVANTAX PLANNING PARTNERS, INC. | HONKAMP KRUEGER FINANCIAL SERVICES INC | HK FINANCIAL SERVICES | AVANTAX RETIREMENT PLAN SERVICES
CRD#: 106237 / SEC#: 801-50939
RIA
Registered Investment Advisory firm - (1/17/1996 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3390 Asbury Road, Dubuque, IA 52002-2801
Mailing Address
Phone number
(563) 582-2855
Established
Firm type
Fiscal year end
# of Employees
254
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 13,679 |
| AUM (Assets Under Management) | $ 6,933,162,284 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/20/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
