James F. Schmitz

LFA

St. Cloud, MN 56301

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CRD#: 5543666

Professional summary

James Francis Schmitz is a registered financial advisor currently at LFA located in St. Cloud, Minnesota and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Alexandria, Minnesota.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. James has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 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.

1. LARAWAY INSURANCE SERVICES INC,DBA, 1219 33RD ST SOUTH, SAINT CLOUD, MN, 6/2012 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 5/WK - 0/TRADING. 2. GRANITE CITY HOLDINGS, LLC, Sartell MN 56377, 01/2008, OWNER/MEMBER, REAL ESTATE, NIR, 4 HR/MO - 0 HR/MO TRADING 3. LARAWAY FINANCIAL ADVISORS INC, 1219 33RD ST SOUTH, SAINT CLOUD, MN; VICE PRESIDENT, COO, ADV REP OF A REGISTERED INVESTMENT ADVISOR, IAR.06/11/12, INV REL - 40/WK - 30/TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Francis 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

December 4, 2013 - Present

LFA

Office #1: 1219 - 33rd Street South, St. Cloud, MN 56301

RIA

CRD#: 114674

St. Cloud, MN

Current

June 11, 2012 - Present

CAMBRIDGE INVESTMENT RESEARCH, INC.

Office #1: 201 6th Ave East, Alexandria, MN 56308Office #2: 1219 33rd Street South, St. Cloud, MN 56301

CRD#: 39543

Alexandria, MN

Past

April 6, 2009 - June 12, 2012

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

SARTELL, MN

Past

June 13, 2008 - August 20, 2008

FBL MARKETING SERVICES, LLC

CRD#: 5309

WAITE PARK, 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".

LFA

LARAWAY FINANCIAL ADVISORS, INC. | LFA

CRD#: 114674 / SEC#: 801-63115

RIA

Registered Investment Advisory firm - (5/14/2004 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
(9/24/2015)

Colorado
(1/2/2020)

Florida
(4/27/2015)

Minnesota
(6/11/2012)

IAR

Minnesota
(12/4/2013)

Montana
(7/16/2024)

Nevada
(1/2/2020)

New Mexico
(1/2/2020)

New York
(5/2/2016)

North Carolina
(1/3/2020)

North Dakota
(10/28/2013)

South Carolina
(1/2/2020)

South Dakota
(6/11/2012)

Texas
(11/23/2021)

Washington
(7/27/2015)

Wisconsin
(1/2/2020)

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

Series 63

Date: 6/16/2008

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: 11/7/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/11/2008

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

LFA

LARAWAY FINANCIAL ADVISORS, INC. | LFA

CRD#: 114674 / SEC#: 801-63115

RIA

Registered Investment Advisory firm - (5/14/2004 Approved)

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Contact information

Main Address

1219 - 33rd Street South, St. Cloud, MN 56301

Mailing Address

Phone number

(320) 253-2490

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LFA ADV BROCHURE (2/4/2025)

Regulatory assets under management

Total Number of Accounts	803
AUM (Assets Under Management)	$ 309,222,813

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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Firm Stability Insights

James F. Schmitz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Francis Schmitz's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

VOYA FINANCIAL ADVISORS, INC.

FBL MARKETING SERVICES, LLC

Primary Firm SEC Registration

LFA

State Registrations and Notice Filings

Exams

Series 63

Date: 6/16/2008

SIE

Date: 10/1/2018

Series 7

Date: 11/7/2013

Series 6

Date: 6/11/2008

FINRA

Current Firm

LFA

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LFA

TRUST BUT VERIFY

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