Kerry Jeanne Schmitz
Investment Adviser Representative at Independent Financial Group, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Kerry Jeanne Schmitz is an investment adviser representative in Buffalo, MN, currently registered with Dougherty & Associates Financial Advisors, Inc. and Independent Financial Group, LLC. They have worked in the securities industry since 2003 and were previously registered with RBC Capital Markets, LLC. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in Minnesota.
Office
Advisors at this office: 3
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Minnesota
- Broker:
1 state or territory
Minnesota
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Independent Financial GroupJan 2013 – no end date reportedBuffalo, MN
- Dougherty & Associates Financial Advisors, IncJan 2013 – no end date reportedBuffalo, MN
Official records & sources
Data as of August 11, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Independent Financial Group, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Commissions
- Hourly
- Fixed fee
- Performance-based fees
- Firm account minimum
- $25,000 (waivable)
- Up to $250,0002.16%
- $250,000 - $500,0002.12%
- $500,000 - $1 Mil2.10%
- $1 Mil - $2 Mil2.06%
+2 more tiers on the firm profile
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$5B–$25B
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 484
- Offices listed on AdvisorFinder:
- 26
- Main office:
- San Diego, CA
- SEC file number:
- 801-62667
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 29, 2026
View full firm profileOther advisors at Independent Financial Group, LLC
Showing 12 of 484 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Kerry Jeanne Schmitz has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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