Robert C. Schmidt

REALIZED FINANCIAL

AUSTIN, TX 78701

Some features on this profile are disabled

CRD#: 6920482

Professional summary

Robert Clayton Schmidt, who also goes by Robert Schmidt, Clay Schmidt, is a registered financial professional currently at REALIZED FINANCIAL, INC. located in Austin, Texas.

Robert is registered as a RR (Registered Representative) and started their career in finance in 2018. Robert has worked at 2 firms and has passed the Series 63, SIE and Series 22 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Robert Schmidt | Clay 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Clayton Schmidt'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

November 5, 2019 - Present

REALIZED FINANCIAL, INC.

Office #1: 500 W. 13th Street, Austin, TX 78701

RIA

CRD#: 22333

AUSTIN, TX

Past

March 15, 2018 - October 31, 2019

WEALTHFORGE SECURITIES, LLC

CRD#: 152550

Austin, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(1/21/2021)

Arizona
(1/21/2021)

California
(11/5/2019)

Colorado
(11/5/2019)

Delaware
(1/31/2024)

District of Columbia
(1/21/2021)

Florida
(11/5/2019)

Georgia
(11/5/2019)

Hawaii
(1/21/2021)

Illinois
(1/22/2020)

Kansas
(1/21/2021)

Louisiana
(1/21/2021)

Maryland
(1/21/2021)

Massachusetts
(11/5/2019)

Minnesota
(6/9/2020)

Missouri
(2/21/2020)

Montana
(1/21/2021)

Nevada
(1/21/2021)

New Hampshire
(1/21/2021)

New Jersey
(11/5/2019)

New York
(11/5/2019)

North Carolina
(11/5/2019)

Oregon
(10/10/2025)

Pennsylvania
(11/5/2019)

Rhode Island
(11/5/2019)

South Carolina
(11/5/2019)

Tennessee
(1/21/2021)

Texas
(11/5/2019)

Utah
(1/21/2021)

Virginia
(1/21/2021)

Washington
(11/5/2019)

Wisconsin
(5/12/2020)

Wyoming
(11/5/2019)

Exams

State Security Law Exam

Series 63

Date: 3/30/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 22

Date: 3/15/2018

Direct Participation Programs Representative Examination

SRO Registrations

FINRA

Current Firm

REALIZED FINANCIAL, INC.

REALIZED FINANCAL, INC. | THORNHILL SECURITIES, INC. | THORNHILL BROKERAGE, INC. | REALIZED FINANCIAL, INC.

CRD#: 22333 / SEC#: 801-70703, 8-39659

RIA

Registered Investment Advisory firm - SEC (3/25/2015 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (6/27/2014 Approved)

Texas

Registered Investment Advisory firm - SEC (6/6/2014 Approved)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

500 W. 13th Street, Austin, TX 78701

Mailing Address

500 W. 13th Street, Austin, TX 78701

Phone number

(512) 472-7171

Established

Texas since 03/29/1988

Firm type

Corporation

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
REALIZED HOLDINGS INC	CORPORATION
DAHILL, DAVID P	CEO	6581024
DAHILL, DAVID P	FINOP	6581024
ELLIOTT, STEPHANIE NICOLE	CCO	2476636
ELLIOTT, STEPHANIE NICOLE	PRESIDENT	2476636
MEDINA, GABRIEL O	COO	5061047

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.

Similar Advisors

Steven Gallegos

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Austin, TX

Eric Pomerantz

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Austin, TX

Jeffrey Weeks

ATX PORTFOLIO ADVISORS, LLC

IAR

Austin, TX

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Robert C. Schmidt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Clayton Schmidt's CRS (Customer Relationship Summary).

Certified licenses

Experience

REALIZED FINANCIAL, INC.

WEALTHFORGE SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/30/2018

SIE

Date: 10/1/2018

Series 22

Date: 3/15/2018

FINRA

Current Firm

REALIZED FINANCIAL, INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

REALIZED FINANCIAL, INC.

TRUST BUT VERIFY

Similar Advisors