Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Schwartz is a financial advisor registered with Oppenheimer & Co. Inc. and has been working in the financial industry since 2004. Brian is a Series 63, SIE, Series 86, Series 87, and Series 7 licensed advisor. Brian is registered in California and New York and specializes in a variety of areas. Brian has previously been registered with THINKEQUITY LLC, PIPER JAFFRAY & CO., MONTGOMERY & CO., LLC, and RBC CAPITAL MARKETS CORPORATION.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
CA
04/25/2012 - Present
Oppenheimer & Co. Inc. (SAN FRANCISCO CA)
CA
01/03/2011 - 04/20/2012
THINKEQUITY LLC (SAN FRANCISCO CA)
CA
04/17/2008 - 12/23/2010
PIPER JAFFRAY & CO. (SAN FRANCISCO CA)
CA
11/13/2007 - 04/25/2008
MONTGOMERY & CO., LLC (SAN FRANCISCO CA)
TX
08/26/2004 - 11/02/2007
RBC CAPITAL MARKETS CORPORATION (DALLAS TX)
BC
Issued 09/14/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/03/2005
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 12/06/2004
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 08/24/2004
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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