Cody Brian Schmitz | Financial Professional

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Cody Brian Schmitz was a registered financial professional .

Cody is a previously registered financial professional and started their career in finance in 2016. Cody had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

No

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)

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

Past

December 14, 2016 - October 3, 2017

RDA FINANCIAL NETWORK

RIA

CRD#: 147309

Ames, IA

Past

August 12, 2016 - September 18, 2017

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

BD

CRD#: 20804

AMES, IA

Past

June 30, 2016 - July 29, 2016

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD

CRD#: 39543

Ames, 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".

RF

RDA FINANCIAL NETWORK

CRD#: 147309 / SEC#: 801-69651

RIA

Registered Investment Advisory firm - (10/16/2008 Approved)

Illinois

Registered Investment Advisory firm - (10/16/2008 Terminated)

Iowa

Registered Investment Advisory firm - (5/18/2015 Terminated)

Ohio

Registered Investment Advisory firm - (10/21/2008 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.

Visual representation of state registrations

This advisor is not registered in any state.

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

RR

IAR

Series 66

Date: 9/8/2016

Uniform Combined State Law Examination

General Industry/Product Exam

RR

SIE

Date: 9/18/2017

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 6/30/2016

General Securities Representative Examination

Current Firm

RF

RDA FINANCIAL NETWORK

CRD#: 147309 / SEC#: 801-69651

RIA

Registered Investment Advisory firm - (10/16/2008 Approved)

Illinois

Registered Investment Advisory firm - (10/16/2008 Terminated)

Iowa

Registered Investment Advisory firm - (5/18/2015 Terminated)

Ohio

Registered Investment Advisory firm - (10/21/2008 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).

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Contact information

Main Address

321 Reed Street Suite #2, Akron, IA 51001

Mailing Address

321 Reed Street Suite #2, Akron, IA 51001

Phone number

(888) 300-4975

Established

Firm type

Fiscal year end

# of Employees

18

SEC notice filing (41 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 DISCLOSURE BROCHURE (3/31/2025)

RDA FINANCIAL NETWORK WRAP FEE PROGRAM BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	3,347
AUM (Assets Under Management)	$ 578,744,853

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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Advisor Monitoring

Firm Stability Insights

Cody B. Schmitz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RDA FINANCIAL NETWORK

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CAMBRIDGE INVESTMENT RESEARCH, INC.

Primary Firm SEC Registration

RDA FINANCIAL NETWORK

State Registrations and Notice Filings

Exams

Series 66

Date: 9/8/2016

SIE

Date: 9/18/2017

Series 7

Date: 6/30/2016

Current Firm

RDA FINANCIAL NETWORK

Contact information

SEC notice filing (41 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RDA FINANCIAL NETWORK

TRUST BUT VERIFY

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