Eric S. Schmitz

KLAAS FINANCIAL ASSET ADVISORS.

Fitchburg, WI 53719-5114

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CRD#: 7353960

Professional summary

Eric Scott Schmitz, who also goes by Eric Schmitz, is a registered financial advisor currently at KLAAS FINANCIAL ASSET ADVISORS, LLC. located in Fitchburg, Wisconsin.

Eric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Eric has worked at 3 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Eric Schmitz

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.

ERIC SCHMITZ POSITION: Producer NATURE: Insurance Agency - Fixed Annuities and non-variable insurance with multiple product manufacturers. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 2 START DATE: 03/24/2023 ADDRESS: 2911 Blue Aster Blvd, Unit 4114, Sun Prairie WI 53590, United States DESCRIPTION: Meet with clients, determine suitability, take applications, and answer any client questions.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Scott Schmitz'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

January 5, 2024 - Present

KLAAS FINANCIAL ASSET ADVISORS, LLC.

Office #1: 5951 Mckee Road, Suite 200, Fitchburg, WI 53719-5114

RIA

CRD#: 121399

Fitchburg, WI

Past

April 25, 2023 - October 17, 2023

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

FOND DU LAC, WI

Past

February 3, 2023 - October 17, 2023

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

FOND DU LAC, WI

Past

January 24, 2022 - February 1, 2023

MD FINANCIAL ADVISORS / VESTMENT FINANCIAL

RIA

CRD#: 168771

CHANHASSEN, 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".

KLAAS FINANCIAL ASSET ADVISORS, LLC.

CRD#: 121399 / SEC#: 801-79516

RIA

Registered Investment Advisory firm - (4/9/2014 Approved)

Illinois

Registered Investment Advisory firm - (4/10/2014 Terminated)

Wisconsin

Registered Investment Advisory firm - (4/10/2014 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.

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

Illinois
(1/5/2024)

IAR

Wisconsin
(1/5/2024)

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

Series 63

Date: 5/30/2023

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/24/2022

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 4/25/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 12/19/2022

Securities Industry Essentials Examination

Current Firm

KLAAS FINANCIAL ASSET ADVISORS, LLC.

CRD#: 121399 / SEC#: 801-79516

RIA

Registered Investment Advisory firm - (4/9/2014 Approved)

Illinois

Registered Investment Advisory firm - (4/10/2014 Terminated)

Wisconsin

Registered Investment Advisory firm - (4/10/2014 Terminated)

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Contact information

Main Address

4707 Perry Ridge Lane, Loves Park, IL 61111

Mailing Address

Phone number

(815) 877-8440

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (8/26/2025)

APPENDIX 1 - WRAP BROCHURE (8/26/2025)

Regulatory assets under management

Total Number of Accounts	2,539
AUM (Assets Under Management)	$ 632,130,957

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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Eric S. Schmitz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Scott Schmitz's CRS (Customer Relationship Summary).

Certified licenses

Experience

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

MD FINANCIAL ADVISORS / VESTMENT FINANCIAL

Primary Firm SEC Registration

KLAAS FINANCIAL ASSET ADVISORS, LLC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/30/2023

Series 65

Date: 1/24/2022

Series 7TO

Date: 4/25/2023

SIE

Date: 12/19/2022

Current Firm

KLAAS FINANCIAL ASSET ADVISORS, LLC.

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KLAAS FINANCIAL ASSET ADVISORS, LLC.

TRUST BUT VERIFY

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