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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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BS

Brennen M. Schmertmann

ST. THERESE FINANCIAL
BETTENDORF, IA
Some features on this profile are disabled
CRD#: 7365374
BS

Professional summary

Brennen Michael Schmertmann is a registered financial advisor currently at ST. THERESE FINANCIAL LLC located in Bettendorf, Iowa.

Brennen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Brennen has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE exams.

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 Brennen Michael Schmertmann'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®
None

Experience

Current

January 21, 2025 - Present

ST. THERESE FINANCIAL LLC

RIA
CRD#: 334383
BETTENDORF, IA
Past

November 1, 2022 - December 18, 2024

LPL FINANCIAL LLC

RIA
CRD#: 6413
MOLINE, IL
Past

November 1, 2022 - December 18, 2024

LPL FINANCIAL LLC

BD
CRD#: 6413
MOLINE, IL
Past

June 11, 2022 - November 11, 2022

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

RIA
CRD#: 611
IOWA CITY, IA
Past

July 5, 2021 - November 11, 2022

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

BD
CRD#: 611
IOWA CITY, IA

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
(8/5/2025)
IAR
Iowa
(1/21/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/10/2022
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/2/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/19/2022
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 7/5/2021
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/5/2021
Securities Industry Essentials Examination

Current Firm

ST
ST. THERESE FINANCIAL LLC
ST. THERESE FINANCIAL LLC

CRD#: 334383 / SEC#:

Illinois
Registered Investment Advisory firm - (8/5/2025 Approved)
Iowa
Registered Investment Advisory firm - (12/23/2024 Approved)
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Contact information

Main Address
Bettendorf, IA
Mailing Address
Phone number
(563) 726-1507
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts20
AUM (Assets Under Management)$ 825,727

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

ST. THERESE FINANCIAL LLC

CRD#: 334383Bettendorf, IA

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