Keith A. Schmitz
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Keith Arthur Schmitz was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 2009. Keith had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2023 - December 31, 2023
WHITNEY FINANCIAL STRATEGIES, LLC
August 10, 2018 - December 31, 2022
WHITNEY FINANCIAL STRATEGIES, LLC
October 5, 2011 - May 10, 2018
AVANTAX ADVISORY SERVICES
October 5, 2011 - May 10, 2018
AVANTAX INVESTMENT SERVICES, INC.
December 10, 2009 - September 13, 2011
TRANSAMERICA FINANCIAL ADVISORS, LLC
December 10, 2009 - September 13, 2011
TRANSAMERICA FINANCIAL ADVISORS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WHITNEY FINANCIAL STRATEGIES, LLC
CRD#: 174946 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 87 |
| AUM (Assets Under Management) | $ 11,292,863 |
Red Flags
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