David Schmitz
Professional Summary
David Schmitz is a registered financial advisor currently at SGL FINANCIAL, LLC located in Rhinelandar, Wisconsin. David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. David has worked at 1 firm and has passed the Series 65 exam.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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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Years of Experience
11 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
ARGALLUS FINANCIAL | WITT FINANCIAL GROUP | WELL BEING FINANCIAL GROUP | WEALTH FINANCIAL GROUP WEST, INC. | WEALTH FINANCIAL GROUP | WEALTH FINANCIAL ADVISORY SERVICES, LLC | WEALTH FINANCIAL ADVISORY SERVICES LLC | WEALTH FINANCIAL ADVISORY SERVICES | TAMPA BAY ADVISORY, LLC | SUMMIT FINANCIAL GROUP OF TN | STANDARD CAPITAL FINANCIAL | SLOANE FINANCIAL SERVICES | SGL FINANCIAL, LLC | SCOTT TUCKER SOLUTIONS | SAFE MONEY RETIREMENT STRATEGIES | ROGERS TAX ADVISORY | PHELAN FINANCIAL SOLUTIONS | NORTHLAND FINANCIAL | MOORE FINANCIAL CONCEPTS | MC2 WEALTH MANAGEMENT | MAINSAIL WEALTH MANAGEMENT | JC FINANCIAL EDUCATORS | JARVIS LAW FIRM | INTELLECTUAL BUSINESS SOLUTIONS | GEURIN WEALTH MANAGEMENT | FLIESS FINANCIAL SERVICES, LLC | FIRST STATE FINANCIAL PLANNERS | FINANCIAL RESOURCES GROUP | FELTS FINANCIAL SERVICES | ESTATE AND WEALTH MANAGEMENT | DUELL WEALTH MANAGEMENT | DR. HAROLD WONG & ASSOCIATES | DIVECHA FINANCIAL, LLC | DEDICATED SENIOR ADVISORS | DEDICATED FINANCIAL SERVICES, LLC | CREW AND LLOYD | COWEN TAX ADVISORY GROUP | CHROBAK ADVISORY GROUP | BROWN FINANCIAL GROUP | BOWERS AND ASSOCIATES, LLC | BLUE AND GRAY FINANCIAL | BETTER LIFE FINANCIAL, LLC | AUSTIN FIRST FINANCIAL
Contact Information
Main Address
1130 W Lake Cook Road Suite 150, Buffalo Grove, IL 60089Phone Number
(847) 499-3330# of Employees
33SEC notice filing (14 States and Territories)
Registered to provide investment advisory services in 14 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
2,713AUM (Assets Under Management)
$416,008,260Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
ARGALLUS FINANCIAL | WITT FINANCIAL GROUP | WELL BEING FINANCIAL GROUP | WEALTH FINANCIAL GROUP WEST, INC. | WEALTH FINANCIAL GROUP | WEALTH FINANCIAL ADVISORY SERVICES, LLC | WEALTH FINANCIAL ADVISORY SERVICES LLC | WEALTH FINANCIAL ADVISORY SERVICES | TAMPA BAY ADVISORY, LLC | SUMMIT FINANCIAL GROUP OF TN | STANDARD CAPITAL FINANCIAL | SLOANE FINANCIAL SERVICES | SGL FINANCIAL, LLC | SCOTT TUCKER SOLUTIONS | SAFE MONEY RETIREMENT STRATEGIES | ROGERS TAX ADVISORY | PHELAN FINANCIAL SOLUTIONS | NORTHLAND FINANCIAL | MOORE FINANCIAL CONCEPTS | MC2 WEALTH MANAGEMENT | MAINSAIL WEALTH MANAGEMENT | JC FINANCIAL EDUCATORS | JARVIS LAW FIRM | INTELLECTUAL BUSINESS SOLUTIONS | GEURIN WEALTH MANAGEMENT | FLIESS FINANCIAL SERVICES, LLC | FIRST STATE FINANCIAL PLANNERS | FINANCIAL RESOURCES GROUP | FELTS FINANCIAL SERVICES | ESTATE AND WEALTH MANAGEMENT | DUELL WEALTH MANAGEMENT | DR. HAROLD WONG & ASSOCIATES | DIVECHA FINANCIAL, LLC | DEDICATED SENIOR ADVISORS | DEDICATED FINANCIAL SERVICES, LLC | CREW AND LLOYD | COWEN TAX ADVISORY GROUP | CHROBAK ADVISORY GROUP | BROWN FINANCIAL GROUP | BOWERS AND ASSOCIATES, LLC | BLUE AND GRAY FINANCIAL | BETTER LIFE FINANCIAL, LLC | AUSTIN FIRST FINANCIAL
State Registrations and Notice Filings
(5/14/2015)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view David Schmitz's CRS (Customer Relationship Summary).
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