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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Howard Schwartz is a financial advisor with over 38 years of experience in the financial services industry. David has a strong background in financial planning and portfolio management, specializing in providing wealth management services to individuals, families, and businesses. David is a Certified Financial Planner™ and holds a variety of securities licenses including Series 6, 22, 26, 39, and 51. David is currently registered with Captrust and holds registrations with the states of New York, North Carolina, and Texas. David also has a strong track record of success in providing wealth management services to a variety of clients, including high-net-worth individuals, families, and businesses. David is committed to providing his clients with personalized financial advice and guidance to help them achieve their financial goals.
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.
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
NY
06/13/2019 - Present
Captrust (Lake Success NY)
NY
02/27/1984 - 03/28/2019
FIRST CAPITAL EQUITIES,LTD. (Lake Success NY)
NA
06/01/1983 - 06/11/1985
CARDELL & ASSOCIATES, INCORPORATED
BC
Issued 01/22/2004
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 12/08/1997
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 09/01/1983
Series 39 - Direct Participation Programs Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/03/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 05/28/1983
Series 22 - Direct Participation Programs Representative Examination
Active
Inactive
F
FINRA
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