SS
Steven T. Schmidt
LPL ENTERPRISE | Financial Advisor
ST. LOUIS PARK, MN 55426-0134
CRD#: 6023611
SS
Professional summary
Steven Todd Schmidt, CFP®, who also goes by Steven T Schmidt, Steven Schmidt, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in St. Louis Park, Minnesota.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Steven has worked at 2 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Debt Management
Investment Planning
Comprehensive Financial Planni...
Long-term Care
Employee and Employer Plan Ben...
Budgeting
Estate Planning
Retirement Planning
Retirement Income Management
Insurance Planning
Are you a "fiduciary"?
Yes
Aliases
Steven T Schmidt | Steven Schmidt
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. 10/16/2025 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - INV REL - Hopkins, MN - Start Date 09/17/2025 - 160 HRS/MO | 160 HRS/MO DURING TRADING 2. 10/16/2025 - STEVEN SCHMIDT N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - INV REL - Hopkins, MN - Start Date 09/17/2025 - 160 HRS/MO | 160 HRS/MO DURING TRADING 3. 10/16/2025 - Theta Chi Alumni Housing Corporation - Non-Profit Board Member - NOT INV REL - Minneapolis, MN - Start Date 12/09/2021 - 2 HRS/MO | 0 HRS/MO DURING TRADING 4. 10/16/2025 - The Regulator Society - Non-Profit Board Member - NOT INV REL - Zimmerman, MN - Start Date 10/16/2021 - 10 HRS/MO | 0 HRS/MO DURING TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Steven Todd Schmidt's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven Todd Schmidt's 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®
Start date: 2016
Experience
Current
October 27, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 600 S Highway 169 Suite 1000, St. Louis Park, MN 55426-0134RIA
BD
CRD#: 8733
ST. LOUIS PARK, MN
Current
October 27, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 600 S Highway 169 Suite 1000, St. Louis Park, MN 55426-0134RIA
BD
CRD#: 8733
ST. LOUIS PARK, MN
Past
June 12, 2023 - September 4, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
St Paul, MN
Past
April 25, 2023 - September 4, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
St Paul, MN
Past
January 31, 2014 - September 1, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
MINNEAPOLIS, MN
Past
March 7, 2012 - September 1, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, 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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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.RR
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
RR
Minnesota(10/27/2025)
IAR
Minnesota(10/27/2025)
RR
North Dakota(10/27/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/24/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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
LPL ENTERPRISE, LLC
Financial AdvisorCRD#: 8733St. Louis Park, MN 55426-0134TRUST BUT VERIFY
Monitor Steven Schmidt
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
