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CS

Cody W. Schaefer

FORTRESS FINANCIAL GROUP
ROCHESTER, MN 55901
Some features on this profile are disabled
CRD#: 6639022
CS

Professional summary

Cody Wayne Schaefer is a registered financial advisor currently at FORTRESS FINANCIAL GROUP, LLC located in Rochester, Minnesota.

Cody is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Cody has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

top-8-questions

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 Cody Wayne Schaefer'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®
None

Experience

Current

February 28, 2022 - Present

FORTRESS FINANCIAL GROUP, LLC

Office #1: 1610 14th Street Nw Suite 300, Rochester, MN 55901
RIA
CRD#: 315329
ROCHESTER, MN
Past

January 9, 2017 - January 27, 2020

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
ROCHESTER, MN

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".
FF
FORTRESS FINANCIAL GROUP, LLC
FORTRESS FINANCIAL GROUP, LLC

CRD#: 315329 / SEC#: 801-122032

RIA
Registered Investment Advisory firm - (8/9/2021 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.

Highlighted states indicate IAR registrations

IAR
Minnesota
(2/28/2022)
IAR
Texas
(11/19/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/26/2022
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/11/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 1/9/2017
Investment Company Products/Variable Contracts Representative Examination

Current Firm

FF
FORTRESS FINANCIAL GROUP, LLC
FORTRESS FINANCIAL GROUP, LLC

CRD#: 315329 / SEC#: 801-122032

RIA
Registered Investment Advisory firm - (8/9/2021 Approved)
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Contact information

Main Address
1610 14th Street Nw Suite 300, Rochester, MN 55901
Mailing Address
Phone number
(507) 529-1400
Established
Firm type
Fiscal year end
# of Employees
8

SEC notice filing (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORTRESS FINANCIAL DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENT (3/28/2025)

Regulatory assets under management

Total Number of Accounts833
AUM (Assets Under Management)$ 303,722,600

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.

Company Information

FORTRESS FINANCIAL GROUP, LLC

CRD#: 315329Rochester, MN 55901

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