Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Ryan William Schmidt
RYAN WILLIAM SCHMIDT, Ryan Schmidt
CRD#: 6856904
IA
Investment Adviser
B
Broker
LPL ENTERPRISE, LLCCRD#: 8733 14 N. 7TH AVE.
ST CLOUD, MN 56302
Registration History
20172018201920202021202220232024202520262 FIRMS2017 - 2021 (4 years)2 FIRMS2021 - 2024 (3 years)2 FIRMS2024 - Present (<1 year)
License(s)

State Registrations

B
Alabama 12/5/2024
B
Missouri 1/2/2025
B
Arizona 12/5/2024
B
North Dakota 12/5/2024
B
Kentucky 1/2/2025
B
South Carolina 12/5/2024
B
Massachusetts 12/5/2024
B
South Dakota 12/5/2024
B
Minnesota 12/5/2024
B
Tennessee 12/5/2024
IA
Minnesota 12/5/2024
B
Wisconsin 1/2/2025

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL ENTERPRISE, LLC (CRD#:8733)
14 N. 7TH AVE., ST CLOUD, MN 56302
Registered with this firm since 12/5/2024
B
LPL ENTERPRISE, LLC (CRD#:8733)
14 N. 7TH AVE., ST CLOUD, MN 56302
Registered with this firm since 12/5/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/23/2021 - 12/03/2024 NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881) SAINT CLOUD, MN
B
 11/22/2021 - 12/03/2024 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) SAINT CLOUD, MN
IA
 12/04/2017 - 11/08/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SAINT CLOUD, MN
B
 10/31/2017 - 11/08/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SAINT CLOUD, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.