Kevin Michael Schmitz

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
MN	RA	APPROVED	2025-11-24

MN RA
APPROVED

Since 2025-11-24

Branch Locations

7935 Stone Creek Dt Ste 10, Chanhassen, MN 55317 • United States

444 2Nd St, Excelsior, MN 55331 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Illinois Tool Works (Itw)	Glenview	IL	05/2004	05/2025
Unemployed	Chanhassen	MN	05/2025	08/2025
Lpl	Chanhassen	MN	09/2025	Present
Waterrock Financial	Chanhassen	MN	09/2025	Present

05/2004 → 05/2025

Illinois Tool Works (Itw)

Glenview, IL
05/2025 → 08/2025

Unemployed

Chanhassen, MN
09/2025 → Present

Lpl

Chanhassen, MN
09/2025 → Present

Waterrock Financial

Chanhassen, MN

Other Businesses

1. 10/2025 - WaterRock Financial - DBA for LPL Business (entity for LPL business) - Investment Related - 40 Hour(s)/Month - 2 Hour(s) During Trading - At Reported business location(s) - OBA Start Date: 11/4/2025 2. 10/2025 - Schmitz Iowa Farmland - Real Estate Rental - Not Investment Related - 1 Hour(s)/Month - 0 Hour(s) During Trading - Chanhassen, MN 53317 - OBA Start Date : 01/01/1996

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2025-11-24

S65 Uniform Investment Adviser Law Examination

2025-11-24

View on SEC IAPD