linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

David John Schwartz

Independent Advisor Alliance, LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you David? Claim Your Profile

About David John Schwartz

David John Schwartz is a financial advisor registered with Independent Advisor Alliance, LLC. David has been in the industry since December 19, 2005. Independent Advisor Alliance, LLC is a registered investment advisor firm with offices in Charlotte, North Carolina. The firm provides a variety of financial services, including financial planning, pension consulting, educational seminars, and portfolio management for individuals and businesses. David is a licensed investment advisor representative in Mississippi and holds Series 63, 66, 7 and SIE licenses.

Firm Information

David Schwartz is currently registered with Independent Advisor Alliance, LLC. Independent Advisor Alliance, LLC is a registered investment advisor based in Charlotte, NC. The firm manages approximately $1 billion to $10 billion in assets for a diverse clientele, including high-net-worth individuals, corporations, charitable organizations, and pension and profit-sharing plans. Independent Advisor Alliance provides financial planning, portfolio management, and pension consulting services.
Independent Advisor Alliance, LLC

11215 N. COMMUNITY HOUSE RD.

CHARLOTTE, NC 28277

$12.83B

Assets Under Management

68

Total Clients

242

Total Financial Advisors

Services Offered

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.

check

financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

check

pension consulting services

Guidance on pension options to ensure a secure financial future.

check

educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

check

selection of other advisors

Helps you choose top advisors aligned with your financial goals.

check

portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

check

portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

check

fixed fees

Set rates for specific services, regardless of time or assets managed.

check

percentage of assets

A percentage of the total value of assets under management is charged.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

David Schwartz’s Registration & Firm History

MS

08/03/2018 - Present

Independent Advisor Alliance, LLC (Walls MS)

MS

11/30/2005 - 11/02/2010

EDWARD JONES (HERNANDO MS)

Not sure if David John Schwartz is right for you?

Licenses & Designations

BOTH

Issued 07/26/2008

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/02/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/29/2005

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for David John Schwartz. Review regulatory record here.
Not sure if David John Schwartz is right for you?