AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Why AdvisorCheck
Steven Michael Schmitt

Steven Michael Schmitt

CFP®
WILLOW
ROGERS, AR
·CRD# 5450875·19 years experience

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.

At a Glance

Always Fiduciary

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

Similar Advisors

KK
Kenneth Robert Kindsvater

PRINCIPAL SECURITIES, INC.

PITTSBURGH, PA · CRD#
View profile
JC
Johnkarl Council

EQUITABLE ADVISORS, LLC

NEW YORK, NY · CRD#
CHICAGO, IL · CRD#

Videos & Posts

This advisor has not added any videos or posts yet.

Similar Advisors

KK
Kenneth Robert Kindsvater

PRINCIPAL SECURITIES, INC.

PITTSBURGH, PA · CRD#
Patrick Anthony Manconi
Patrick Anthony Manconi

DOUGHERTY INVESTMENT ADVISORS

SPRING HILL, FL · CRD#
JC
Johnkarl Council

EQUITABLE ADVISORS, LLC

NEW YORK, NY · CRD#
CHICAGO, IL · CRD#

Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

Similar Advisors

KK
Kenneth Robert Kindsvater

PRINCIPAL SECURITIES, INC.

PITTSBURGH, PA · CRD#
Patrick Anthony Manconi
Patrick Anthony Manconi

DOUGHERTY INVESTMENT ADVISORS

SPRING HILL, FL · CRD#
JC
Johnkarl Council

EQUITABLE ADVISORS, LLC

NEW YORK, NY · CRD#
CHICAGO, IL · CRD#

Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

Similar Advisors

KK
Kenneth Robert Kindsvater

PRINCIPAL SECURITIES, INC.

PITTSBURGH, PA · CRD#
Patrick Anthony Manconi
Patrick Anthony Manconi

DOUGHERTY INVESTMENT ADVISORS

SPRING HILL, FL · CRD#
JC
Johnkarl Council

EQUITABLE ADVISORS, LLC

NEW YORK, NY · CRD#
CHICAGO, IL · CRD#

Credentials

CFP®
Certified Financial PlannerSince 2009

Years of Experience

19 years in the financial services industry

Current & Past Employments

WILLOW·CRD# 325785
RIA
2860 West Walnut Street Suite 100, Rogers, AR 72756
June 29, 2023 - Present
THRIVENT INVESTMENT MANAGEMENT INC.·CRD# 18387
RIA
Rogers, AR
November 30, 2007 - June 30, 2023
THRIVENT INVESTMENT MANAGEMENT INC.·CRD# 18387
BD
Rogers, AR
November 15, 2007 - June 30, 2023

Similar Advisors

KK
Kenneth Robert Kindsvater

PRINCIPAL SECURITIES, INC.

PITTSBURGH, PA · CRD#
Patrick Anthony Manconi
Patrick Anthony Manconi

DOUGHERTY INVESTMENT ADVISORS

SPRING HILL, FL · CRD#
JC
Johnkarl Council

EQUITABLE ADVISORS, LLC

NEW YORK, NY · CRD#
CHICAGO, IL · CRD#

Current Firm

WI
WILLOW

PATHWAY | WILLOW FINANCIAL LLC | WILLOW

CRD#: 325785 / SEC#: 801-131403
RIA
Registered Investment Advisory firm - SEC (11/1/2024 Approved)
Arkansas
Registered Investment Advisory firm - Arkansas (11/21/2024 Terminated)
Oklahoma
Registered Investment Advisory firm - Oklahoma (12/2/2024 Terminated)
Tennessee
Registered Investment Advisory firm - Tennessee (11/20/2024 Terminated)
Texas
Registered Investment Advisory firm - Texas (11/20/2024 Terminated)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

2860 West Walnut Street Suite 100, Rogers, AR 72756

Phone Number

(479) 709-3949

# of Employees

5

SEC notice filing (3 States and Territories)

Registered to provide investment advisory services in 3 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WILLOW FINANCIAL DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS (3/24/2026)

Regulatory Assets Under Management

Total Number of Accounts

358

AUM (Assets Under Management)

$127,638,991

Similar Advisors

KK
Kenneth Robert Kindsvater

PRINCIPAL SECURITIES, INC.

PITTSBURGH, PA · CRD#
Patrick Anthony Manconi
Patrick Anthony Manconi

DOUGHERTY INVESTMENT ADVISORS

SPRING HILL, FL · CRD#
JC
Johnkarl Council

EQUITABLE ADVISORS, LLC

NEW YORK, NY · CRD#
CHICAGO, IL · CRD#

Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

Similar Advisors

KK
Kenneth Robert Kindsvater

PRINCIPAL SECURITIES, INC.

PITTSBURGH, PA · CRD#
Patrick Anthony Manconi
Patrick Anthony Manconi

DOUGHERTY INVESTMENT ADVISORS

SPRING HILL, FL · CRD#
JC
Johnkarl Council

EQUITABLE ADVISORS, LLC

NEW YORK, NY · CRD#
CHICAGO, IL · CRD#

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 - SEC (11/1/2024 Approved)
Arkansas
Registered Investment Advisory firm - Arkansas (11/21/2024 Terminated)
Oklahoma
Registered Investment Advisory firm - Oklahoma (12/2/2024 Terminated)
Tennessee
Registered Investment Advisory firm - Tennessee (11/20/2024 Terminated)
Texas
Registered Investment Advisory firm - Texas (11/20/2024 Terminated)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.
IAR
Arkansas
(6/29/2023)

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.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Nov 2007About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Nov 2007About the Series 7 exam

Similar Advisors

KK
Kenneth Robert Kindsvater

PRINCIPAL SECURITIES, INC.

PITTSBURGH, PA · CRD#
Patrick Anthony Manconi
Patrick Anthony Manconi

DOUGHERTY INVESTMENT ADVISORS

SPRING HILL, FL · CRD#
JC
Johnkarl Council

EQUITABLE ADVISORS, LLC

NEW YORK, NY · CRD#
CHICAGO, IL · CRD#

CRS (Client Relationship Summary) - RIA

Click below to view Steven Michael Schmitt's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Similar Advisors

KK
Kenneth Robert Kindsvater

PRINCIPAL SECURITIES, INC.

PITTSBURGH, PA · CRD#
Patrick Anthony Manconi
Patrick Anthony Manconi

DOUGHERTY INVESTMENT ADVISORS

SPRING HILL, FL · CRD#
JC
Johnkarl Council

EQUITABLE ADVISORS, LLC

NEW YORK, NY · CRD#
CHICAGO, IL · CRD#
Steven Michael Schmitt
Follow Steven
Get alerted to job moves, licensing changes, and new disclosures
Free — no card required