Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Schwarz is a financial advisor with over 30 years of experience in the industry. David has worked for several well-known firms, including Smith Barney, Lehman Brothers, Citigroup Global Markets, and Morgan Stanley Smith Barney. David is currently a registered representative of Robert W. Baird & Co. Inc. David provides a wide range of financial services to individuals, families, businesses, and institutions. David holds Series 7, 31, 63, and 65 licenses and the Securities Industry Essentials Exam. David is registered to provide financial services in several states.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
OH
06/06/2017 - Present
Robert W. Baird & Co. Inc. (COLUMBUS OH)
OH
06/01/2009 - 06/28/2011
MORGAN STANLEY SMITH BARNEY (COLUMBUS OH)
OH
06/06/2003 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (COLUMBUS OH)
NY
08/14/1998 - 06/13/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
07/31/1993 - 08/25/1998
SMITH BARNEY INC. (NEW YORK NY)
NY
01/23/1992 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 01/31/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/24/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/23/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 01/22/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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