RS
Ryan W. Schmidt
LPL ENTERPRISE
ST CLOUD, MN 56302
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CRD#: 6856904
RS
Professional summary
Ryan William Schmidt, who also goes by Ryan William Schmidt, Ryan Schmidt, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in St Cloud, Minnesota.
Ryan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Ryan has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ryan William Schmidt | Ryan Schmidt
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.
1) 12/04/2024 - Ryan Schmidt - Real Estate Rental - Traditional Rental agreements for a single-family home in the suburbs of Minneapolis/St. Paul - INV Related - At New Brighton, MN - Start Date 06/03/2024 - 1hrs/mth - 0hrs During Trading 2) 12/04/2024 - Indoor Drumline Director - Coach/ Sports/ Fitness - I teach and coach an independent Winter Drumline - Not INV Related - At Foley, MN - Start Date 10/04/2004 - 40 hrs/mth - 0hrs During Trading 3) 02/12/2025 - Walker Creek Financial Group - DBA for LPL Business (entity for LPL business) - Sole Advisors Partnering in the St. Cloud Area all under the Prudential business - INV Related - At Saint Cloud, MN - Start Date 01/21/2025 - 40hrs/mth - 40hrs During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Ryan William Schmidt's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ryan William Schmidt's 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®
NoneExperience
Current
December 5, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 14 North 7th Avenue, St Cloud, MN 56302RIA
BD
CRD#: 8733
ST CLOUD, MN
Current
December 5, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 14 North 7th Avenue, St Cloud, MN 56302RIA
BD
CRD#: 8733
ST CLOUD, MN
Past
November 23, 2021 - December 3, 2024
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
SAINT CLOUD, MN
Past
November 22, 2021 - December 3, 2024
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
SAINT CLOUD, MN
Past
December 4, 2017 - November 8, 2021
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SAINT CLOUD, MN
Past
October 31, 2017 - November 8, 2021
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SAINT CLOUD, 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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(12/5/2024)
RR
Arizona(12/5/2024)
RR
Kentucky(1/2/2025)
RR
Massachusetts(12/5/2024)
RR
Minnesota(12/5/2024)
IAR
Minnesota(12/5/2024)
RR
Missouri(1/2/2025)
RR
North Dakota(12/5/2024)
RR
South Carolina(12/5/2024)
RR
South Dakota(12/5/2024)
RR
Tennessee(12/5/2024)
RR
Wisconsin(1/2/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/16/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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
LPL ENTERPRISE, LLC
CRD#: 8733St Cloud, MN 56302TRUST BUT VERIFY
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