Spencer R. Schmitz

CETERA INVESTMENT ADVISERS LLC

OMAHA, NE 68144

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CRD#: 5158145

Professional summary

Spencer Ross Schmitz, who also goes by Spencer Schmitz, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Omaha, Nebraska and CETERA WEALTH SERVICES, LLC located in Omaha, Nebraska.

Spencer is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Spencer has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Spencer 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.

CO-OP INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 04/01/2007 ADDRESS: , Omaha NE , United States DESCRIPTION: Agent/Broker R.F. BROKERAGE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 04/01/2007 ADDRESS: , St Louis MO , United States DESCRIPTION: Agent/Broker

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Spencer Ross 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®

None

Experience

Current

August 10, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 12801 Pierce St #100, Omaha, NE 68144

RIA

CRD#: 105644

OMAHA, NE

Current

August 10, 2023 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 12801 Pierce Street Suite 300, Omaha, NE 68144

CRD#: 13572

Omaha, NE

Past

April 22, 2019 - January 26, 2024

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

OMAHA, NE

Past

April 22, 2019 - August 10, 2023

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

OMAHA, NE

Past

July 25, 2013 - April 4, 2019

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

HELENA, MT

Past

July 24, 2013 - April 4, 2019

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

HELENA, MT

Past

June 14, 2012 - May 31, 2013

FIRST NATIONAL CAPITAL MARKETS

CRD#: 115920

OMAHA, NE

Past

June 8, 2012 - May 31, 2013

FIRST NATIONAL CAPITAL MARKETS

RIA

CRD#: 115920

OMAHA, NE

Past

May 3, 2007 - November 24, 2010

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

OMAHA, NE

Past

December 21, 2006 - November 24, 2010

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

OMAHA, NE

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(8/10/2023)

California
(3/21/2024)

Colorado
(8/10/2023)

Hawaii
(8/10/2023)

Idaho
(8/10/2023)

Illinois
(8/10/2023)

Kansas
(8/10/2023)

Massachusetts
(3/21/2025)

Missouri
(8/10/2023)

Montana
(8/10/2023)

Nebraska
(8/10/2023)

IAR

Nebraska
(8/10/2023)

Nevada
(8/10/2023)

North Dakota
(3/28/2024)

Oregon
(2/5/2024)

Texas
(3/21/2025)

IAR

Texas
(3/21/2025)

Utah
(7/31/2025)

Washington
(8/10/2023)

Wyoming
(8/10/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/27/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/7/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/20/2006

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Spencer R. Schmitz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Spencer Ross Schmitz's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

FIRST NATIONAL CAPITAL MARKETS

FIRST NATIONAL CAPITAL MARKETS

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/27/2007

Series 63

Date: 2/7/2007

SIE

Date: 10/1/2018

Series 7

Date: 12/20/2006

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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