PS
Peter J. Schmitz
WEALTHSPIRE RETIREMENT ADVISORY
Plymouth, MN 55441
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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.
Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services Business Name: NFP Corporate Services (MN) Investment Related: Yes Address: 9655 Schmidt Lake Rd Plymouth MN 55442 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Investment Advisory services through an independent outside RIA Position, Title or Relationship: Investment Advisor Start Date: 1/25/2016 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Assist clients to meet their financial goals
CRS (Client Relationship Summary) - RIA
Click below to view Peter J 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®
Experience
Current
May 16, 2016 - Present
WEALTHSPIRE RETIREMENT ADVISORY
Office #1: 505 Waterford Park, Highway 169 Suite 1100, Plymouth, MN 55441RIA
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 | 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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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 | 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)Upgrade to AdvisorCheck Premium
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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)
Documents
Regulatory assets under management
| Total Number of Accounts | 9,394 |
| AUM (Assets Under Management) | $ 118,031,461,765 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
