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Stephen Joseph Schmitz

Cetera Financial Specialists LLC

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About Stephen Joseph Schmitz

Stephen Joseph Schmitz is a financial professional with over 30 years of experience in the industry. Stephen is currently registered with Cetera Financial Specialists LLC. Stephen also has experience with Cetera Advisors LLC, Cetera Advisor Networks LLC, Cetera Investment Services LLC, FIRST ALLIED SECURITIES, INC., SUMMIT BROKERAGE SERVICES, INC., LEGEND EQUITIES CORPORATION, INVESTORS CAPITAL CORP., J.P. TURNER & COMPANY, L.L.C., BANCWEST INVESTMENT SERVICES, INC., GRANITE INVESTMENT SERVICES, INC., GUARANTY BROKERAGE SERVICES, INC., NATHAN & LEWIS SECURITIES, INC., and BISYS BROKERAGE SERVICES, INC. Stephen holds the Series 27, SIE, and Series 99TO licenses.

Firm Information

Stephen Schmitz is currently registered with Cetera Financial Specialists LLC. Cetera Financial Specialists LLC is a Limited Liability Company formed on October 31, 2012, and is registered in all 50 states plus the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has one approved SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

185

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Stephen Schmitz’s Registration & Firm History

MN

06/19/2012 - Present

Cetera Financial Specialists LLC (ST CLOUD MN)

MN

01/28/2015 - 09/08/2022

FIRST ALLIED SECURITIES, INC. (ST CLOUD MN)

MN

01/28/2015 - 12/03/2019

SUMMIT BROKERAGE SERVICES, INC. (ST CLOUD MN)

MN

01/28/2015 - 12/31/2016

LEGEND EQUITIES CORPORATION (St. Cloud MN)

MN

01/28/2015 - 12/19/2016

INVESTORS CAPITAL CORP. (ST. CLOUD MN)

MN

12/17/2014 - 12/23/2015

J.P. TURNER & COMPANY, L.L.C. (ST. CLOUD MN)

NE

04/20/2000 - 11/14/2003

BANCWEST INVESTMENT SERVICES, INC. (OMAHA NE)

MN

08/07/2001 - 11/06/2001

GRANITE INVESTMENT SERVICES, INC. (ST. CLOUD MN)

MN

08/07/2001 - 11/06/2001

GUARANTY BROKERAGE SERVICES, INC. (ST. CLOUD MN)

NY

06/14/2000 - 09/20/2000

NATHAN & LEWIS SECURITIES, INC. (NEW YORK NY)

MN

05/04/2000 - 06/14/2000

BISYS BROKERAGE SERVICES, INC. (ST. CLOUD MN)

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Licenses & Designations

BC

Issued 12/03/1990

Series 27 - Financial and Operations Principal Examination

BC

Issued 01/02/2023

SIE - Securities Industry Essentials Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Stephen Joseph Schmitz.
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