Theresa Schmotzer has been an investment adviser representative at Vantage Financial Group since March 2023, and is not listed among the firm’s executive officers or direct owners.
Vantage Financial Group, Inc. is a Cleveland, OH firm with $867M under management, 2,521 clients and 22 advisers across 7 offices, as of its March 2026 filing.
Theresa Schmotzer’s longest registration was 9 years at PNC Investments (2009–2019). Before joining Vantage Financial Group in 2023, Theresa Schmotzer was registered through Cetera Advisor Networks LLC and PNC Investments.
- Cetera Investment Advisers LLCAlso current– present · 3 yearsCleveland, OH · Adviser representative · Firm CRD 105644
- – present · 3 yearsCleveland, OH · Adviser representative · Firm CRD 105950
- Cetera Advisor Networks LLC– · 4 yearsEl Segundo, CA · Adviser representative · Firm CRD 13572
- PNC Investments– · 9 yearsRocky River, OH · Adviser representative · Firm CRD 129052
- Natcity Investments, Inc.– · 5 yearsCleveland, OH · Adviser representative · Firm CRD 17490
Investment adviser representative registrations
Theresa Schmotzer is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from March 2023; the most recent is Texas, in June 2023.
- OhioSince 1 March 2023
- TexasResidentSince 29 June 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 27 September 2004 |
| Series 7 | General Securities Representative Examination | 30 September 2002 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Theresa Ann Schmotzer
- CRD
- 4298928
- Firm
- Vantage Financial Group · CRD 105950
- Office
- 6200 ROCKSIDE ROAD, Cleveland, OH 44131
- Registration
- Investment adviser and broker registrations
- In the industry since
- October 2002
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Theresa Schmotzer work?
Theresa Schmotzer is an investment adviser representative registered through Vantage Financial Group, Inc. since March 2023, and is not listed among the firm’s executive officers or direct owners.
Is Theresa Schmotzer a financial advisor?
Yes. Theresa Schmotzer has a current investment-adviser registration in Ohio and Texas, through Vantage Financial Group since March 2023.
How many years of experience does Theresa Schmotzer have?
Theresa Schmotzer has 24 years in the financial industry, since October 2002, across 5 adviser firms.
What exams has Theresa Schmotzer passed?
Theresa Schmotzer has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in September 2002. FINRA credited Theresa Schmotzer with the SIE, which began in October 2018.
Where did Theresa Schmotzer work before Vantage Financial Group?
Before Vantage Financial Group, Theresa Schmotzer was registered through PNC Investments, November 2009 to February 2019; Natcity Investments, Inc., October 2004 to November 2009.
Where is Theresa Schmotzer based?
Theresa Schmotzer’s registered office is in Cleveland, OH.
Is Theresa Schmotzer registered with FINRA?
Yes. Theresa Schmotzer has a current broker registration, under CRD 4298928.
Source: FINRA BrokerCheck
How can I verify Theresa Schmotzer’s record?
Search CRD 4298928 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Theresa Schmotzer’s full registration record.
