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SPENCER ROSS SCHMITZ
SPENCER SCHMITZ
CRD#: 5158145
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 12801 PIERCE ST
STE 300
OMAHA, NE 68144
STE 300
OMAHA, NE 68144
CETERA ADVISOR NETWORKS LLCCRD#: 13572 12801 Pierce Street
SUITE 300
OMAHA, NE 68144
SUITE 300
OMAHA, NE 68144
0
Disclosures
16
Years of Experience
View By:
State Registrations
B
Arizona 8/10/2023
B
Montana 8/10/2023
B
California 3/21/2024
B
Nebraska 8/10/2023
B
Colorado 8/10/2023
IA
Nebraska 8/10/2023
B
Hawaii 8/10/2023
B
Nevada 8/10/2023
B
Idaho 8/10/2023
B
North Dakota 3/28/2024
B
Illinois 8/10/2023
B
Oregon 2/5/2024
B
Kansas 8/10/2023
B
Washington 8/10/2023
B
Missouri 8/10/2023
B
Wyoming 8/10/2023
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 8/10/2023
B
Registered with this firm since 8/10/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/22/2019 - 01/26/2024 | OMAHA, NE | |
B | 04/22/2019 - 08/10/2023 | OMAHA, NE | |
IA | 07/25/2013 - 04/04/2019 | HELENA, MT | |
B | 07/24/2013 - 04/04/2019 | HELENA, MT | |
IA | 06/08/2012 - 05/31/2013 | OMAHA, NE | |
B | 06/14/2012 - 05/31/2013 | OMAHA, NE | |
IA | 05/03/2007 - 11/24/2010 | OMAHA, NE | |
B | 12/21/2006 - 11/24/2010 | OMAHA, NE |
For additional information about investment advisers or broker-dealers, please visit
B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.