Allison L. Schmidt

HIGGINS & SCHMIDT WEALTH STRATEGIES

DENVER, CO 80202

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CRD#: 5631247

Professional summary

Allison Louise Schmidt, CFP®, who also goes by Allison Louise Deyoung, is a registered financial advisor currently at HIGGINS & SCHMIDT WEALTH STRATEGIES LLC located in Denver, Colorado and LPL FINANCIAL LLC located in Denver, Colorado.

Allison is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Allison has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 9 exams.

At a Glance

Min. Asset: $50K–$100K

Services Offered

Estate Planning

Retirement Income Management

Investment Planning

Long-term Care

Retirement Planning

Insurance Planning

Tax Planning

Social Security Planning

Divorce Planning

Comprehensive Financial Planning

Aliases

Allison Louise Deyoung

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Allison Louise Schmidt'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®

CFP^®

Certified Financial Planner

Start date: 2012

Experience

Current

May 26, 2017 - Present

HIGGINS & SCHMIDT WEALTH STRATEGIES LLC

Office #1: 1934 Market Street, Denver, CO 80202

RIA

CRD#: 286063

DENVER, CO

Current

May 26, 2017 - Present

LPL FINANCIAL LLC

Office #1: 1934 Market Street,, Denver, CO 80202

RIA

CRD#: 6413

DENVER, CO

Past

July 24, 2025 - July 10, 2026

LPL FINANCIAL LLC

RIA

CRD#: 6413

BROOMFIELD, CO

Past

August 31, 2010 - May 30, 2017

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

BROOMFIELD, CO

Past

August 31, 2010 - May 30, 2017

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

BROOMFIELD, CO

Past

March 25, 2009 - September 8, 2010

EDWARD JONES

RIA

CRD#: 250

BOULDER, CO

Past

March 3, 2009 - September 8, 2010

EDWARD JONES

CRD#: 250

BOULDER, CO

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".

HIGGINS & SCHMIDT WEALTH STRATEGIES LLC

HD WEALTH STRATEGIES, LLC | HIGGINS & SCHMIDT WEALTH STRATEGIES LLC

CRD#: 286063 / SEC#: 801-119622

RIA

Registered Investment Advisory firm - (10/9/2020 Approved)

Colorado

Registered Investment Advisory firm - (10/30/2020 Terminated)

Texas

Registered Investment Advisory firm - (10/19/2020 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.

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

Alabama
(5/26/2017)

California
(5/26/2017)

Colorado
(5/26/2017)

IAR

Colorado
(5/26/2017)

Connecticut
(5/26/2017)

Florida
(8/17/2017)

Illinois
(5/26/2017)

Indiana
(5/26/2017)

Louisiana
(5/26/2017)

Maryland
(5/26/2017)

Michigan
(9/8/2020)

Minnesota
(5/26/2017)

New York
(5/26/2017)

North Carolina
(5/26/2017)

Texas
(4/25/2019)

IAR

Texas
(5/7/2019)

West Virginia
(5/26/2017)

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 66

Date: 3/13/2009

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/2/2009

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 12/7/2010

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

HIGGINS & SCHMIDT WEALTH STRATEGIES LLC

HD WEALTH STRATEGIES, LLC | HIGGINS & SCHMIDT WEALTH STRATEGIES LLC

CRD#: 286063 / SEC#: 801-119622

RIA

Registered Investment Advisory firm - (10/9/2020 Approved)

Colorado

Registered Investment Advisory firm - (10/30/2020 Terminated)

Texas

Registered Investment Advisory firm - (10/19/2020 Terminated)

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Contact information

Main Address

1934 Market Street, Denver, CO 80202

Mailing Address

Phone number

(720) 287-0918

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A HIGGINS SCHMIDT WEALTH STRATEGIES LLC (1/2/2026)

WRAP BROCHURE - HD WEALTH STRATEGIES, LLC (1/2/2026)

Regulatory assets under management

Total Number of Accounts	782
AUM (Assets Under Management)	$ 215,146,264

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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We're Here To Help

Advisor Monitoring

Firm Stability Insights

Allison L. Schmidt

Professional summary

At a Glance

Services Offered

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Allison Louise Schmidt's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

HIGGINS & SCHMIDT WEALTH STRATEGIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/13/2009

SIE

Date: 10/1/2018

Series 7

Date: 3/2/2009

Series 9

Date: 12/7/2010

FINRA

Current Firm

HIGGINS & SCHMIDT WEALTH STRATEGIES LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HIGGINS & SCHMIDT WEALTH STRATEGIES LLC

TRUST BUT VERIFY

Contact information

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