Spencer D. Schwarting

CORNERSTONE FINANCIAL GROUP,LLC

OMAHA, NE 68154

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CRD#: 6444213

Professional summary

Spencer Dean Schwarting, CFP® is a registered financial advisor currently at CORNERSTONE FINANCIAL GROUP,LLC located in Omaha, Nebraska.

Spencer is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Spencer has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Spencer Dean Schwarting'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®

CFP^®

Certified Financial Planner

Start date: 2019

Experience

Current

July 9, 2018 - Present

CORNERSTONE FINANCIAL GROUP,LLC

Office #1: 11225 Davenport Street Suite 102, Omaha, NE 68154

RIA

CRD#: 129246

OMAHA, NE

Past

October 13, 2015 - February 27, 2018

CALLAHAN FINANCIAL PLANNING COMPANY

RIA

CRD#: 153050

OMAHA, NE

Past

July 13, 2015 - September 21, 2015

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

OMAHA, NE

Past

June 9, 2015 - September 21, 2015

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

OMAHA, NE

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".

CORNERSTONE FINANCIAL GROUP,LLC

CRD#: 129246 / SEC#: 801-132992

RIA

Registered Investment Advisory firm - (6/16/2025 Approved)

California

Registered Investment Advisory firm - (9/6/2025 Terminated)

Colorado

Registered Investment Advisory firm - (8/7/2025 Terminated)

Iowa

Registered Investment Advisory firm - (9/2/2025 Terminated)

Nebraska

Registered Investment Advisory firm - (8/7/2025 Terminated)

Texas

Registered Investment Advisory firm - (8/7/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

California
(11/8/2024)

IAR

Colorado
(2/11/2025)

IAR

Iowa
(3/13/2024)

IAR

Nebraska
(7/9/2018)

IAR

Texas
(5/23/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/7/2015

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 9/21/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/9/2015

General Securities Representative Examination

Current Firm

CORNERSTONE FINANCIAL GROUP,LLC

CRD#: 129246 / SEC#: 801-132992

RIA

Registered Investment Advisory firm - (6/16/2025 Approved)

California

Registered Investment Advisory firm - (9/6/2025 Terminated)

Colorado

Registered Investment Advisory firm - (8/7/2025 Terminated)

Iowa

Registered Investment Advisory firm - (9/2/2025 Terminated)

Nebraska

Registered Investment Advisory firm - (8/7/2025 Terminated)

Texas

Registered Investment Advisory firm - (8/7/2025 Terminated)

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Contact information

Main Address

11225 Davenport Street Suite 102, Omaha, NE 68154

Mailing Address

Phone number

(402) 758-0700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CORNERSTONE FINANCIAL GROUP, LLC ADV PART 2A (5/14/2025)

Regulatory assets under management

Total Number of Accounts	872
AUM (Assets Under Management)	$ 247,020,527

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.

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Spencer D. Schwarting

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Spencer Dean Schwarting's CRS (Customer Relationship Summary).

Certified licenses

Experience

CORNERSTONE FINANCIAL GROUP,LLC

CALLAHAN FINANCIAL PLANNING COMPANY

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CORNERSTONE FINANCIAL GROUP,LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/7/2015

SIE

Date: 9/21/2015

Series 7

Date: 6/9/2015

Current Firm

CORNERSTONE FINANCIAL GROUP,LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CORNERSTONE FINANCIAL GROUP,LLC

TRUST BUT VERIFY

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