Douglas Schmitz is a registered investment advisor, based in Fargo, ND, with 38 years of industry experience.
Location
1220 28th Avenue North, Fargo, ND, 58102
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Regulatory History (5)
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Customer Dispute
February 2024Settled
Regulatory
May 2023Final
Customer Dispute
August 2020Closed-No Action
Customer Dispute
July 2020Closed-No Action
Customer Dispute
April 2020Settled
Other Business Activities
Douglas is an Investment Advisor Representative at Classic Asset Management and Secure Asset Management. He also owns and manages Sunrise Apartments/Townhomes and Front Street Apartments, dedicating a few hours per week to this activity, and is a member of Classic Holdings, LLC.
Employment History
Current Registrations
Purshe Kaplan Sterling InvestmentsBroker
January 2026 - Present · 3 mos
Financial Strategies Group
July 2006 - Present · 19 yrs 9 mos
Previous Registrations
Secure Asset Management, L.L.C.
June 2024 - January 2026 · 1 yr 7 mos
Aurora SecuritiesBroker
March 2024 - January 2026 · 1 yr 10 mos
Classic, LLCBroker
November 2012 - April 2024 · 11 yrs 5 mos
Northstar Financial Partners, INC.Broker
January 2010 - December 2012 · 2 yrs 11 mos
Fintegra, LLCBroker
October 2007 - December 2009 · 2 yrs 2 mos
Questar Asset Management, INC.
January 2005 - October 2007 · 2 yrs 9 mos
Questar Capital Corporation
January 2003 - December 2005 · 2 yrs 11 mos
Questar Capital CorporationBroker
January 2003 - October 2007 · 4 yrs 9 mos
Multi-Financial Securities Corporation
January 2002 - December 2002 · 11 mos
Multi-Financial Securities CorporationBroker
September 1992 - December 2002 · 10 yrs 3 mos
Walnut Street Securities, INC.Broker
April 1990 - August 1992 · 2 yrs 4 mos
Fsc Securities CorporationBroker
November 1987 - April 1990 · 2 yrs 5 mos
State Registrations6 states
AZCOMNNDSDTX
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.