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PS

Peter J. Schmitz

WEALTHSPIRE RETIREMENT ADVISORY
Plymouth, MN 55441
Some features on this profile are disabled
CRD#: 4860514
PS

Professional summary

Peter J Schmitz, AIF®, CFP®, who also goes by Peter John Schmitz, is a registered financial advisor currently at WEALTHSPIRE RETIREMENT ADVISORY located in Plymouth, Minnesota.

Peter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Peter has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Peter John Schmitz

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 Peter J Schmitz's CRS (Customer Relationship Summary).
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®
AIF®

Accredited Investment Fiduciary

CFP®

Certified Financial Planner

Experience

Current

May 16, 2016 - Present

WEALTHSPIRE RETIREMENT ADVISORY

Office #1: 505 Waterford Park, Highway 169 Suite 1100, Plymouth, MN 55441
RIA
CRD#: 121254
Plymouth, MN
Past

April 21, 2016 - June 9, 2016

KESTRA ADVISORY SERVICES, LLC

RIA
CRD#: 283330
PLYMOUTH, MN
Past

February 26, 2016 - June 9, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA
CRD#: 42046
PLYMOUTH, MN
Past

February 26, 2016 - April 2, 2018

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
PLYMOUTH, MN
Past

February 7, 2014 - April 8, 2016

STILES FINANCIAL SERVICES, INC.

RIA
CRD#: 117023
EDINA, MN
Past

January 2, 2014 - January 22, 2016

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
EDINA, MN
Past

November 30, 2011 - November 6, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
BLOOMINGTON, MN
Past

November 21, 2011 - November 6, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
BLOOMINGTON, MN
Past

February 9, 2010 - March 15, 2010

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
LAKEVILLE, MN
Past

November 18, 2005 - August 13, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
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".
WR
WEALTHSPIRE RETIREMENT ADVISORY
401 (K) ADVISORS | WEALTHSPIRE RETIREMENT, LLC | WEALTHSPIRE RETIREMENT ADVISORY | SST BENEFITS AND CONSULTING SERVICES LLC | NFP RETIREMENT INC. | NFP RETIREMENT | NFP | FIDUCIARYPATH | FIDUCIARY FIRST, LLC | ACCELERATE RETIREMENT | 403(B) ADVISORS | 401(K) INVESTMENT ADVISORS, INC. | 401(K) ADVISORS, INC. | 401(K) ADVISORS INC. | 401 (K) ADVISORS, INC.

CRD#: 121254 / SEC#: 801-66107

RIA
Registered Investment Advisory firm - (1/31/2006 Approved)
California
Registered Investment Advisory firm - (2/9/2006 Terminated)

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
Minnesota
(5/16/2016)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/29/2011
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/29/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/2/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/17/2005
General Securities Representative Examination

Current Firm

WR
WEALTHSPIRE RETIREMENT ADVISORY
401 (K) ADVISORS | WEALTHSPIRE RETIREMENT, LLC | WEALTHSPIRE RETIREMENT ADVISORY | SST BENEFITS AND CONSULTING SERVICES LLC | NFP RETIREMENT INC. | NFP RETIREMENT | NFP | FIDUCIARYPATH | FIDUCIARY FIRST, LLC | ACCELERATE RETIREMENT | 403(B) ADVISORS | 401(K) INVESTMENT ADVISORS, INC. | 401(K) ADVISORS, INC. | 401(K) ADVISORS INC. | 401 (K) ADVISORS, INC.

CRD#: 121254 / SEC#: 801-66107

RIA
Registered Investment Advisory firm - (1/31/2006 Approved)
California
Registered Investment Advisory firm - (2/9/2006 Terminated)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
120 Vantis Suite 400, Aliso Viejo, CA 92656
Mailing Address
Phone number
(949) 460-9898
Established
Firm type
Fiscal year end
# of Employees
240

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

NFP RETIREMENT (12/23/2025)

Regulatory assets under management

Total Number of Accounts9,394
AUM (Assets Under Management)$ 118,031,461,765

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

WEALTHSPIRE RETIREMENT ADVISORY

CRD#: 121254Plymouth, MN 55441

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