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CS

Caleb M. Schmidt

DYNAMIC FINANCIAL GROUP
Cedar Falls, IA 50613
Some features on this profile are disabled
CRD#: 5970498
CS

Professional summary

Caleb Michael Schmidt is a registered financial advisor currently at DYNAMIC FINANCIAL GROUP located in Cedar Falls, Iowa.

Caleb is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Caleb has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

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. SCHMIDT FINANCIAL SERVICES, INC., NOT INVESTMENT RELATED, ADDRESS IS THE RESIDENTIAL LOCATION, ENTITY CREATED FOR TAX PURPOSES, START JANUARY 2015, 10 HOURS PER WEEK - NOT DURING TRADING HOURS, OWNER/PRESIDENT. 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 06/06/2016 APX NUMBER OF HOURS PER WEEK: 4 HOURS APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, AND LONG TERM CARE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Caleb Michael 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®
None

Experience

Current

August 25, 2017 - Present

DYNAMIC FINANCIAL GROUP

Office #1: 4615 Chadwick Road, Suite 1, Cedar Falls, IA 50613
RIA
CRD#: 288763
Cedar Falls, IA
Past

December 12, 2012 - August 28, 2017

CETERA ADVISORS LLC

RIA
CRD#: 10299
WATERLOO, IA
Past

November 5, 2012 - August 28, 2017

CETERA ADVISORS LLC

BD
CRD#: 10299
WATERLOO, IA

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".
DF
DYNAMIC FINANCIAL GROUP
DYNAMIC FINANCIAL GROUP | DYNAMIC FINANCIAL GROUP, LLC

CRD#: 288763 / SEC#: 801-111021

RIA
Registered Investment Advisory firm - (8/25/2017 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.

Highlighted states indicate IAR registrations

IAR
Iowa
(8/25/2017)
IAR
Texas
(8/25/2017)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/10/2012
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/28/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/2/2012
General Securities Representative Examination

Current Firm

DF
DYNAMIC FINANCIAL GROUP
DYNAMIC FINANCIAL GROUP | DYNAMIC FINANCIAL GROUP, LLC

CRD#: 288763 / SEC#: 801-111021

RIA
Registered Investment Advisory firm - (8/25/2017 Approved)
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Contact information

Main Address
4615 Chadwick Rd Suite 1, Cedar Falls, IA 50613
Mailing Address
Phone number
(319) 277-2727
Established
Firm type
Fiscal year end
# of Employees
4

SEC notice filing (13 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (1/23/2025)

Regulatory assets under management

Total Number of Accounts2,528
AUM (Assets Under Management)$ 474,460,193

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.

Company Information

DYNAMIC FINANCIAL GROUP

CRD#: 288763Cedar Falls, IA 50613

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