DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

SPENCER ROSS SCHMITZ

Advisor at CETERA INVESTMENT ADVISERS LLC

OMAHA, NE

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:d78650e4-f4ef-d6ae-889c-786f2cad79fe

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: May 3, 2007 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: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 7, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Feb 7, 2007
First registration: May 3, 2007
Dual registered: yes, broker-dealer
Other names: SPENCER SCHMITZ
IAPD individual key: 5158145

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
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Aug 10, 2023	n/a	yes	OMAHA, NE	Current employment
SECURIAN FINANCIAL SERVICES, INC.	Former SEC adviser	Apr 22, 2019	Jan 26, 2024	no	OMAHA, NE\|Helena, MT\|OMAHA, NE\|ST. PAUL, MN	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 25, 2013	Apr 4, 2019	no	BUTTE, MT\|DILLON, MT\|HELENA, MT\|ANACONDA, MT\|BUTTE, MT\|HELENA, MT\|CONARD, MT\|GREAT FALLS, MT\|GREAT FALLS, MT\|HAVRE, MT\|RUDYARD, MT\|VALIER, MT\|BIG SANDY, MT\|GREAT FALLS, MT\|GREAT FALLS, MT\|SHELBY, MT\|CHESTER, MT\|CHINOOK, MT\|GREAT FALLS, MT\|BILLINGS, MT\|HELENA, MT\|DILLON, MT	Previous registration
FIRST NATIONAL CAPITAL MARKETS, INC.	Former SEC adviser	Jun 8, 2012	May 31, 2013	no	OMAHA, NE	Previous registration
SECURIAN FINANCIAL SERVICES, INC.	Former SEC adviser	May 3, 2007	Nov 24, 2010	no	OMAHA, NE	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
SECURIAN FINANCIAL SERVICES, INC.	CETERA INVESTMENT ADVISERS LLC	Jan 26, 2024	Aug 10, 2023	-169	Firm change after gap	RIA to ibd
WELLS FARGO ADVISORS	SECURIAN FINANCIAL SERVICES, INC.	Apr 4, 2019	Apr 22, 2019	18	Firm change	Wirehouse to ibd
FIRST NATIONAL CAPITAL MARKETS, INC.	WELLS FARGO ADVISORS	May 31, 2013	Jul 25, 2013	55	Firm change	Other
SECURIAN FINANCIAL SERVICES, INC.	FIRST NATIONAL CAPITAL MARKETS, INC.	Nov 24, 2010	Jun 8, 2012	562	Firm change after gap	Other

Relationships

Registered with (4)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Aug 10, 2023 to presentfactForm ADV
→ SECURIAN FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Apr 22, 2019 to Jan 26, 2024factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 25, 2013 to Apr 4, 2019factForm ADV
→ FIRST NATIONAL CAPITAL MARKETS, INC.Registered adviserregistration: previous registration
Jun 8, 2012 to May 31, 2013factForm ADV

Dated events

Occurred
Jan 26, 2024
Advisor changed firm
Spencer Ross Schmitz left Securian Financial Services, Inc. for Cetera Investment Advisers Llc (registered 2023-08-10)
Form ADVobserved 6 days ago