Steven M. Schmitt
WILLOW
Rogers, AR 72756
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CRD#: 5450875
Professional summary
Steven Michael Schmitt, CFP® is a registered financial advisor currently at WILLOW located in Rogers, Arkansas.
Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Steven has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
ARKANSAS NATIVE TREE FARMS POSITION: owner NATURE: Tree farm INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 07/14/2020 ADDRESS: West Gun Club Road, Fayetteville AR 72704, United States DESCRIPTION: Owner. Will also prep ground and plant trees during the fall and spring. Will help harvest trees in future years. CASA OF NORTHWEST ARKANSAS BOARD OF DIRECTORS POSITION: Director and Finance Committee NATURE: Court Appointed Special Advocates (CASA) of Northwest Arkansas provides compassionate volunteers who advocate for abused and neglected children. We are committed to ensuring a consistent voice, safe home, and promising future for children in foster care. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2020 ADDRESS: 3825 Cawood Lane, Springdale AR 72762, United States DESCRIPTION: Sit on the Board of Directors which helps advise on the direction of the non-profit. We hold bi-monthly meetings and I also sit on the finance committee which approves budgets, expenses, etc. I do not advise or vote on investment decisions. I also do not have check writing authority at this time.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Michael Schmitt'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®
CFP®
Start date: 2009
Experience
Current
June 29, 2023 - Present
WILLOW
Office #1: 2860 West Walnut Street Suite 100, Rogers, AR 72756RIA
CRD#: 325785
Rogers, AR
Past
November 30, 2007 - June 30, 2023
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
Rogers, AR
Past
November 15, 2007 - June 30, 2023
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
Rogers, AR
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".
WI
WILLOW
PATHWAY | WILLOW FINANCIAL LLC | WILLOW
CRD#: 325785 / SEC#: 801-131403
RIA
Registered Investment Advisory firm - (11/1/2024 Approved)Arkansas
Registered Investment Advisory firm - (11/21/2024 Terminated)Oklahoma
Registered Investment Advisory firm - (12/2/2024 Terminated)Tennessee
Registered Investment Advisory firm - (11/20/2024 Terminated)Texas
Registered Investment Advisory firm - (11/20/2024 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
Arkansas(6/29/2023)
IAR
Texas(9/15/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
WI
WILLOW
PATHWAY | WILLOW FINANCIAL LLC | WILLOW
CRD#: 325785 / SEC#: 801-131403
RIA
Registered Investment Advisory firm - (11/1/2024 Approved)Arkansas
Registered Investment Advisory firm - (11/21/2024 Terminated)Oklahoma
Registered Investment Advisory firm - (12/2/2024 Terminated)Tennessee
Registered Investment Advisory firm - (11/20/2024 Terminated)Texas
Registered Investment Advisory firm - (11/20/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2860 West Walnut Street Suite 100, Rogers, AR 72756
Mailing Address
Phone number
(479) 709-3949
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 326 |
| AUM (Assets Under Management) | $ 110,146,108 |
Red Flags
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Company Information
WILLOW
CRD#: 325785Rogers, AR 72756TRUST BUT VERIFY
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