Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Eugene Schwartz is an investment advisor representative with Principal Securities, Inc., who has been in the industry since August 2010. David Schwartz is registered as a broker-dealer in 27 states and as an investment adviser in 2 states. David Schwartz has earned the Series 6, 7, 63 and 65 licenses. He is also a Certified Financial Planner. David Schwartz holds the Series 24 and Series 51 licenses as well. David Schwartz is also registered with Principal Life Insurance Company.
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.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
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.
A percentage of the total value of assets under management is charged.
Seminar fees, solicitors fees, subscription consulting fees
1
2
OR
06/17/2021 - Present
Principal Securities, Inc. (LAKE OSWEGO OR)
CA
08/31/2010 - 07/09/2019
NYLIFE SECURITIES LLC (SAN RAMON CA)
IA
Issued 02/01/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/14/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/18/2019
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 09/20/2019
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/16/2015
Series 7 - General Securities Representative Examination
BC
Issued 08/28/2010
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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