Sarah Schmitz, financial advisor Denver CO
93 score

Sarah Schmitz

CRD Number: 3138476
Current Firm: Principal Securities, Inc.

Sarah Schmitz (CRD# 3138476) is an Investment Advisor Representative working at Principal Securities, Inc. in Denver, CO and has over 17 years of experience in the finance industry.

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Company Name Location Dates Years
Principal Life Insurance Company Denver, CO Sep 2015 - Current 1
Princor Financial Services Corporation Denver, CO Sep 2015 - Current 1
Fidelity Brokerage Services LLC Westlake, TX May 2015 - Sep 2015 < 1
Encana Denver, CO Apr 2011 - Mar 2015 3
True North Securities Wichita, KS Dec 2009 - Apr 2011 1
Strategies LLC Denver, CO Oct 2008 - Nov 2009 1
Princor Financial Services Corporation Des Moines, IA Feb 2007 - Oct 2008 1
Principal Life Insurance Company Des Moines, IA Jan 2007 - Oct 2008 1
Wells Fargo Des Moines, IA May 2006 - Jan 2007 < 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Dec 1998
S66 NASAA Uniform Combined State Law Examination Sep 2008
Contact Info for Sarah M. Schmitz
Phone Number: 888-774-6267
Firm Website: http://www.principal.com
Registered State(s):
  • CO
By the Numbers
  • Total Assets Under Management
    1,622
    MILLIONS
  • Total Number of Accounts
    15,486
    ACCOUNTS
  • Average Account Value
    $104,766
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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