Eric R Schmitz
Professional Summary
Eric R Schmitz, who also goes by Eric Schmitz, is a registered financial advisor currently at CRESCENT GROVE ADVISORS located in Lake Forest, Illinois. Eric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Eric has worked at 2 firms and has passed the Series 63, SIE, Series 87, Series 86 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Eric Schmitz
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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 are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
11 years in the financial services industry
Current & Past Employments
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THE DALA GROUP, LLC
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Current Firm
CARRIE ADVISORS, LLC | CRESCENT GROVE ADVISORS, LLC | CRESCENT GROVE ADVISORS
Contact Information
Main Address
100 South Saunders Road Suite 210, Lake Forest, IL 60045Phone Number
(847) 752-0292# of Employees
34SEC 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
382AUM (Assets Under Management)
$5,504,086,413Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
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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.
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COUNTRY CAPITAL MANAGEMENT COMPANY
THE DALA GROUP, LLC
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Primary Firm SEC Registration
CARRIE ADVISORS, LLC | CRESCENT GROVE ADVISORS, LLC | CRESCENT GROVE ADVISORS
State Registrations and Notice Filings
(12/16/2020)
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.
Series 87 — Research Analyst Exam - Part II Regulations Module
Passed Oct 2015About the Series 87 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Eric R Schmitz's CRS (Customer Relationship Summary).
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