Dawn N. Schmidt
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.
Dawn Nicole Schmidt, who also goes by Dawn Nicole Larsen, Dawn Larsen, Dawn Nicole Larsen-schmidt, Dawn Nicole Schmidt, Dawn N Schmidt, was a registered financial professional .
Dawn is a previously registered financial professional and started their career in finance in 2006. Dawn had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2025 - November 20, 2025
STRATEGIC ADVISERS LLC
February 24, 2025 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
February 13, 2025 - November 20, 2025
FIDELITY BROKERAGE SERVICES LLC
June 15, 2017 - January 13, 2025
WELLS FARGO CLEARING SERVICES, LLC
June 15, 2017 - January 13, 2025
WELLS FARGO CLEARING SERVICES, LLC
December 5, 2011 - September 7, 2016
WELLS FARGO CLEARING SERVICES, LLC
November 28, 2011 - September 7, 2016
WELLS FARGO CLEARING SERVICES, LLC
September 21, 2009 - December 16, 2009
EDWARD JONES
July 15, 2009 - December 16, 2009
EDWARD JONES
July 3, 2006 - April 14, 2009
JOHN HANCOCK DISTRIBUTORS LLC
Primary Firm SEC Registration
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
