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David Schmitz

Investment adviser representative at SGL Financial in Rhinelandar, WI

Investment adviser registrationUpdated

David Schmitz is an investment adviser representative at SGL Financial, LLC, an investment adviser managing $416M, and works from its Rhinelandar, WI office. David Schmitz has been registered through SGL Financial since 14 May 2015, has 11 years in the industry across 1 firm and has passed the Series 65.

11
Years in industry
11
Years at firm
1
Adviser firms
1
States registered

From the IAPD record, checked 23 October 2026SEC record

Career

David Schmitz has been an investment adviser representative at SGL Financial since May 2015, and is not listed among the firm’s executive officers or direct owners.

SGL Financial, LLC is a Buffalo Grove, IL firm with $416M under management, 884 clients and 13 advisers across 4 offices, as of its September 2026 filing.

  1. SGL Financial, LLCCurrent
    – present · 11 years
    Rhinelandar, WI · Adviser representative · Firm CRD 158023

Credentials and registrations

Investment adviser representative registrations

David Schmitz is registered as an investment adviser representative in Wisconsin, since May 2015.

  • WisconsinSince 14 May 2015

Examinations

Series 6514 May 2015
Name
Uniform Investment Adviser Law Examination

Key facts

CRD
6481533
Firm
SGL Financial · CRD 158023
Office
3610 Hwy 47, Rhinelandar, WI 54501
Registration
Investment adviser registration
In the industry since
May 2015
Disciplinary history
Not yet shown here · SEC record

Common questions

Where does David Schmitz work?

David Schmitz is an investment adviser representative registered through SGL Financial, LLC since May 2015, and is not listed among the firm’s executive officers or direct owners.

Source: IAPD individual record, checked 23 October 2026

Is David Schmitz a financial advisor?

Yes. David Schmitz has a current investment-adviser registration in Wisconsin, through SGL Financial since May 2015.

Source: IAPD individual record, checked 23 October 2026

How many years of experience does David Schmitz have?

David Schmitz has 11 years in the financial industry, since May 2015, across 1 adviser firm.

Source: IAPD individual record, checked 23 October 2026

What exams has David Schmitz passed?

David Schmitz passed the Series 65 in May 2015.

Source: IAPD individual record, checked 23 October 2026

Where is David Schmitz based?

David Schmitz’s registered office is in Rhinelandar, WI.

Source: IAPD individual record, checked 23 October 2026

Is David Schmitz registered with FINRA?

No. David Schmitz has no current broker registration.

Source: IAPD individual record, checked 23 October 2026

How can I verify David Schmitz’s record?

Search CRD 6481533 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes David Schmitz’s full registration record.

Source: IAPD individual record, checked 23 October 2026

Leadership at SGL Financial

Sources

  1. IAPD individual record, CRD 6481533, checked 23 October 2026. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of SGL Financial, LLC, filed 22 September 2026. Executive officers and direct owners; this person is not among them.
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