PS
Penny D. Schmidt
IRON HORSE WEALTH MANAGEMENT
Johnston, IA 50131
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CRD#: 7336547
PS
Professional summary
Penny Dyan Schmidt, who also goes by Penny Polzin, is a registered financial advisor currently at IRON HORSE WEALTH MANAGEMENT, LLC located in Johnston, Iowa and APELLA WEALTH located in Johnston, Iowa.
Penny is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Penny has worked at 3 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Penny Polzin
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.
Health Coaching ^ Investment related: No ^ West Des Moines, IA ^ Health coaching ^ Coach ^ 12/27/2017 ^ Total time devoted to this entity: 40 hours per month ^ Time devoted to this entity during trading hours: 6 hours per month ^ I talk to people about their health concerns. Call them weekly to check in. I help new coaches get started and show them how to support clients. I offer training and encouragement to my clients and my coaches clients; Treasurer for National Association of Women Business Owners, Iowa Chapter. I will present financials at monthly board meetings, making sure the chapter stays within the board approved budget. I will work closely with the Chapter Accounting professional who pays the invoices using quickbooks. She and I will meet regularly to make sure I know what is going out and coming in. I am not compensated in any way for this position.
CRS (Client Relationship Summary) - RIA
Click below to view Penny Dyan 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
July 25, 2021 - Present
IRON HORSE WEALTH MANAGEMENT, LLC
Office #1: 8711 Windsor Parkway Suite 4, Johnston, IA 50131CRD#: 165164
Johnston, IA
Current
July 8, 2025 - Present
APELLA WEALTH
Office #1: 8711 Windsor Parkway, Suite 4, Johnston, IA 50131RIA
CRD#: 171106
Johnston, IA
Past
February 27, 2021 - July 23, 2021
COUNTRY CAPITAL MANAGEMENT COMPANY
BD
CRD#: 12060
WEST DES MOINES, 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".
AW
APELLA WEALTH
APELLA CAPITAL | APELLA WEALTH | APELLA CAPITAL, LLC
CRD#: 171106 / SEC#: 801-79650
RIA
Registered Investment Advisory firm - (4/29/2014 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
Connecticut(7/8/2025)
IAR
Iowa(7/25/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 2/26/2021
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
Current Firm
AW
APELLA WEALTH
APELLA CAPITAL | APELLA WEALTH | APELLA CAPITAL, LLC
CRD#: 171106 / SEC#: 801-79650
RIA
Registered Investment Advisory firm - (4/29/2014 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
65 Memorial Drive Suite C340, West Hartford, CT 06107
Mailing Address
Phone number
(860) 785-2260
Established
Firm type
Fiscal year end
# of Employees
140
SEC notice filing (44 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 19,172 |
| AUM (Assets Under Management) | $ 7,953,076,688 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 03/29/2024 | ||
| 04/30/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
APELLA WEALTH
CRD#: 171106Johnston, IA 50131TRUST BUT VERIFY
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