AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
AS

Adam G. Schmidt

Fort Thomas, KY
Some features on this profile are disabled
CRD#: 6138947
AS

Professional summary

Adam Gregory Schmidt, who also goes by Adam G Schmidt, was a registered financial advisor .

Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Adam had worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Adam G 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.
PERFECT NORTH SLOPES, SKI PATROL ;19074 PERFECT LANE, LAWRENCEBURG, INDIANA,47025 ;SKI RESORT, OUTDOOR RECREATION; NOT INVESTMENT RELATED;PATROLLER; PROMOTE SAFE ENJOYMENT OF SNOW SPORTS, ADMINISTERING EMERGENCY FIRST AID CARE WHEN NECESSARY; STARTED12/19/2015; 12 HOURS PER MONTH BUT AS OF 2025, 4 HOURS PER MONTH ON AVERAGE; 0 HOURS PER MONTH DURING SECURITIES HOURS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

October 6, 2025 - Present

Fort Thomas, KY
Past

August 30, 2023 - September 24, 2025

FOUNDATIONS INVESTMENT ADVISORS LLC

RIA
CRD#: 175083
Fort Thomas, KY
Past

September 18, 2018 - April 28, 2023

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
CINCINNATI, OH
Past

September 18, 2018 - April 28, 2023

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
CINCINNATI, OH
Past

January 4, 2016 - June 27, 2017

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
COVINGTON, KY
Past

July 18, 2014 - June 27, 2017

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
COVINGTON, KY

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
Kentucky
(10/6/2025)
IAR
Texas
(10/7/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/11/2015
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/25/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/18/2014
General Securities Representative Examination

Current firm

No current employment

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

No current employment

TRUST BUT VERIFY

Monitor Adam Schmidt

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics