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Sarah N. Schwieterman
PEAK RETIREMENT PLANNING
Columbus, OH 43214
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CRD#: 7683103
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Professional summary
Sarah Nicole Schwieterman, who also goes by Sarah N Schwieterman, Sarah Nicole Schwieterman, is a registered financial advisor currently at PEAK RETIREMENT PLANNING, INC. located in Columbus, Ohio.
Sarah is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Sarah has worked at 4 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sarah N Schwieterman | Sarah Nicole Schwieterman
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.
FINANCIAL PLANNING ASSOCIATION OF SOUTHWEST OHIO POSITION: Board Member NATURE: Host meetings for members and non-members to learn more about economic cycles, laws, financial markets, and the steady stream of new investment and insurance products. Also offers other educational sources and certifications such as the Certified Financial Planner (CFP) designation. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2023 ADDRESS: 4010 Executive Park Drive Suite 100, Cincinnati OH 45241 DESCRIPTION: -Organize and manage committees-meet with other board members to organize events-correspond with other financial professionals to see about event sponsors-Host meetings for members-Confirm speakers qualify for CE (continuing education) credits
CRS (Client Relationship Summary) - RIA
Click below to view Sarah Nicole Schwieterman'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
May 15, 2025 - Present
PEAK RETIREMENT PLANNING, INC.
Office #1: 3600 Olentangy River Road Building 501, Columbus, OH 43214RIA
CRD#: 317592
Columbus, OH
Past
September 28, 2024 - April 15, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
COLDWATER, OH
Past
June 4, 2024 - April 15, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Coldwater, OH
Past
July 26, 2023 - May 28, 2024
ANDERSON FINANCIAL STRATEGIES, LLC
RIA
CRD#: 290343
DAYTON, OH
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".
PR
PEAK RETIREMENT PLANNING, INC.
JOE SCHMITZ FINANCIAL PLANNING | PEAK RETIREMENT PLANNING, INC. | PEAK RETIREMENT PLANNING | PEAK FINANCIAL PLANNING | JOSEPH F. SCHMITZ JR., INC.
CRD#: 317592 / SEC#: 801-130337
RIA
Registered Investment Advisory firm - (5/21/2024 Approved)Louisiana
Registered Investment Advisory firm - (5/28/2024 Terminated)Ohio
Registered Investment Advisory firm - (5/28/2024 Terminated)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
Ohio(5/15/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/28/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
PR
PEAK RETIREMENT PLANNING, INC.
JOE SCHMITZ FINANCIAL PLANNING | PEAK RETIREMENT PLANNING, INC. | PEAK RETIREMENT PLANNING | PEAK FINANCIAL PLANNING | JOSEPH F. SCHMITZ JR., INC.
CRD#: 317592 / SEC#: 801-130337
RIA
Registered Investment Advisory firm - (5/21/2024 Approved)Louisiana
Registered Investment Advisory firm - (5/28/2024 Terminated)Ohio
Registered Investment Advisory firm - (5/28/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3600 Olentangy River Road Building 501, Columbus, OH 43214
Mailing Address
Phone number
(614) 500-4121
Established
Firm type
Fiscal year end
# of Employees
21
SEC notice filing (20 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,940 |
| AUM (Assets Under Management) | $ 416,358,000 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
