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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Analyst20 years in industry

PETER J SCHMITZ

Advisor at WEALTHSPIRE RETIREMENT ADVISORY

ALISO VIEJO, CA | Plymouth, MN

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 30, 2011 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WEALTHSPIRE RETIREMENT ADVISORY
Current firm class: institutional managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 29, 2005earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner|Chartered Financial Analyst
Exams: S66|S63
First exam: Nov 29, 2005
First registration: Nov 30, 2011
Dual registered: no
Other names: PETER JOHN SCHMITZ
IAPD individual key: 4860514

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WEALTHSPIRE RETIREMENT ADVISORY	Institutional manager	May 16, 2016	n/a	yes	ALISO VIEJO, CA\|Plymouth, MN	Current employment
KESTRA ADVISORY SERVICES, LLC	Bd affiliated wealth	Apr 21, 2016	Jun 9, 2016	no	PLYMOUTH, MN	Previous registration
NFP ADVISOR SERVICES, LLC	Former SEC adviser	Feb 26, 2016	Jun 9, 2016	no	PLYMOUTH, MN	Previous registration
STILES FINANCIAL SERVICES, INC.	Independent wealth	Feb 7, 2014	Apr 8, 2016	no	EDINA, MN	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Nov 30, 2011	Nov 6, 2013	no	BLOOMINGTON, MN\|MINNEAPOLIS, MN	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
KESTRA ADVISORY SERVICES, LLC	WEALTHSPIRE RETIREMENT ADVISORY	Jun 9, 2016	May 16, 2016	-24	Firm change	Other
NFP ADVISOR SERVICES, LLC	KESTRA ADVISORY SERVICES, LLC	Jun 9, 2016	Apr 21, 2016	-49	Firm change after gap	Other
STILES FINANCIAL SERVICES, INC.	NFP ADVISOR SERVICES, LLC	Apr 8, 2016	Feb 26, 2016	-42	Firm change after gap	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	STILES FINANCIAL SERVICES, INC.	Nov 6, 2013	Feb 7, 2014	93	Firm change	Other

Relationships

Registered with (5)

→ WEALTHSPIRE RETIREMENT ADVISORYRegistered adviserregistration: current employment
May 16, 2016 to presentfactForm ADV
→ KESTRA ADVISORY SERVICES, LLCRegistered adviserregistration: previous registration
Apr 21, 2016 to Jun 9, 2016factForm ADV
→ NFP ADVISOR SERVICES, LLCRegistered adviserregistration: previous registration
Feb 26, 2016 to Jun 9, 2016factForm ADV
→ STILES FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Feb 7, 2014 to Apr 8, 2016factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Nov 30, 2011 to Nov 6, 2013factForm ADV

Dated events

No dated event names this entity yet.