Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Adam? Claim Your ProfileAdam A. Schwalb is a financial advisor with Wells Fargo Clearing Services, LLC. Adam A. Schwalb has been in the financial industry since January 8, 1995 and has been registered with Wells Fargo Clearing Services, LLC since July 25, 2006. Adam A. Schwalb provides investment advisory services to individuals, businesses, and charitable organizations. Adam A. Schwalb is also registered as an investment advisor representative in the state of Florida. Adam A. Schwalb is a financial advisor with experience in a number of different financial institutions, including Citigroup Global Markets Inc., PaineWebber Incorporated, Josephthal Lyon & Ross Incorporated, and Prudential Securities Incorporated. Adam A. Schwalb has a variety of certifications and licenses, including Series 7, Series 9, Series 10, Series 63, and Series 66. Adam A. Schwalb is committed to providing his clients with the highest quality of service and advice.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
FL
07/25/2006 - Present
Wells Fargo Clearing Services, LLC (FORT LAUDERDALE FL)
FL
01/09/2001 - 07/28/2006
CITIGROUP GLOBAL MARKETS INC. (CORAL SPRINGS FL)
NJ
02/28/1997 - 02/02/2001
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
01/30/1995 - 03/03/1997
JOSEPHTHAL LYON & ROSS INCORPORATED (NEW YORK NY)
NY
01/09/1995 - 01/30/1995
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BOTH
Issued 09/20/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/17/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/09/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/06/1995
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Adam Schwalb is the right advisor for you? Invested Better is here to help.
