MS
Melissa M. Schmitt
CETERA INVESTMENT ADVISERS LLC
SCHAUMBURG, IL 60173-2096
Some features on this profile are disabled
CRD#: 6203570
MS
Professional summary
Melissa Marie Schmitt, who also goes by Melissa Marie Maas, Melissa M Maas, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Schaumburg, Illinois and CETERA WEALTH SERVICES, LLC located in Dubuque, Iowa.
Melissa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Melissa has worked at 5 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Melissa Marie Maas | Melissa M Maas
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) NEW EAGLE WEALTH MANAGEMENT POSITION: Financial Advisor NATURE: At New Eagle Wealth Management, I am the financial advisor where I will provide Avantax Wealth Management Services through. As of 10/1/2022, I have 30% ownership of New Eagle Wealth Management. INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 60 START DATE: 10/01/2022 ADDRESS: 3250 Kennedy Circle, Suite 1, Dubuque IA 52002 DESCRIPTION: At New Eagle Wealth Management, as the financial advisor, I will help clients with their different financial/investment needs. Some services are: retirement planning, income planning, Social Security planning, Investment guidance and helping with Life Insurance. As part owner of New Eagle Wealth Management, I will be partly responsible for the day to day operations and will be involved in the P & L (profit and loss) portion and will also be eligible for dividends that can be paid out at a minimum of annually. 2) COMMERCIAL REAL ESTATE INVESTOR; POSITION: Property Investor NATURE: I am an investor in a Triple Net Lease on a Commercial Real Estate building in Iowa. The address is 13101 University Ave, Clive, IA 50325; INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 04/11/2022 ADDRESS: 7010 Chavenelle Rd, Dubuque IA 52002: As this is a Triple Net Lease, there are no responsibilities to the investors whom fronted the down payment on the loan. The 4 tenants are responsible for the monthly rent payments to the LLC, the taxes, and the upkeep/maintenance of the building. 3) COMMERCIAL REAL ESTATE INVESTORS POSITION: Property Investors NATURE: I am an investor in a Triple Net Lease on two Commercial Real Estate buildings in Iowa. The address are: 13101 University Ave, Clive, IA 50325 and2055 Holliday Dr Dubuque, IA 52002?. There are tenants who rent the building from the LLC I am associated with. As the investors, we personally invested money for the buildings toward the down payment on the commercial loans with Green State Credit Union in Dubuque, Iowa. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 11/01/2023 ADDRESS: 7010 Chavenelle Rd, Dubuque IA 52002 DESCRIPTION: As this is a Triple Net Lease, there are no responsibilities to the investors whom fronted the down payment on the loan. The tenants are responsible for the monthly rent payments to the LLC, the taxes, and the upkeep/maintenance of the building. The LLC's: 13101 University Ave LLC and 2055 Holliday Day Dr LLC, are responsible for the structure of the building (i.e.; weather/fire damage) and paying the commercial loan payment each month. The LLC's pay out a quarterly dividend from the ROR and the intent of the LLC is to refinance the loan with the CU in about 5-10 years, if deemed financially viable, then the LLC's will payout the dividends and hopefully ROP to each investor. 4) GERBER LIFE POSITION: Financial Advisor NATURE: Selling life insurance INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 11/01/2024 ADDRESS: 3250 Kennedy Circle, Suite 1, Dubuque IA 52002 DESCRIPTION: Gerber Life is an exception life insurance carrier that Aimcor EIG, an approved insurance partner that Avantax has approved and is now available for advisors to contract with. Gerber Life is a guaranteed issue provider and Aimcor now has a partnership with them to offer to Avantax advisors.
CRS (Client Relationship Summary) - RIA
Click below to view Melissa Marie Schmitt'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®
NoneExperience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096Office #2: 3250 Kennedy Cir Suite 1, Dubuque, IA 52002RIA
CRD#: 105644
SCHAUMBURG, IL
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 3250 Kennedy Circle Suite 1, Dubuque, IA 52002BD
CRD#: 13572
Dubuque, IA
Past
October 8, 2021 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Dubuque, IA
Past
October 8, 2021 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Dubuque, IA
Past
March 11, 2020 - September 29, 2021
LPL FINANCIAL LLC
RIA
CRD#: 6413
DUBUQUE, IA
Past
June 3, 2019 - September 29, 2021
LPL FINANCIAL LLC
BD
CRD#: 6413
DUBUQUE, 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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.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
Arizona(9/5/2025)
RR
Colorado(9/5/2025)
RR
Florida(9/5/2025)
RR
Illinois(9/5/2025)
RR
Iowa(9/5/2025)
IAR
Iowa(9/5/2025)
RR
New York(9/5/2025)
RR
Wisconsin(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/3/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
