Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Adam? Claim Your ProfileAdam Swartz is an investment advisor representative associated with Merrill Lynch, Pierce, Fenner & Smith Inc. Adam has been in the industry since 2007 and is registered in several states including New York, Texas and more. Adam has a strong background in financial services, having previously worked with Goldman, Sachs & Co. and Mercer Allied Company, L.P.. Adam has passed several professional exams including the Series 7, Series 3, and Series 66. Adam is a valuable resource for investors seeking financial guidance and wealth management solutions.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NY
05/09/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SARATOGA SPRINGS NY)
NY
04/25/2016 - 03/22/2017
GOLDMAN, SACHS & CO. (LATHAM NY)
NY
03/25/2013 - 04/27/2016
MERCER ALLIED COMPANY, L.P. (LATHAM NY)
NY
11/13/2007 - 03/26/2013
GOLDMAN, SACHS & CO. (NEW YORK NY)
BOTH
Issued 04/04/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/15/2010
Series 3 - National Commodity Futures Examination
BC
Issued 11/12/2007
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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