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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 Paul Swartz is a financial advisor who has been in the industry for over 20 years. David Swartz is currently registered with Morgan Stanley in Wellesley, Massachusetts, and holds a variety of licenses, including Series 3, 7, 9, 10, 31, 63, and 66. David Swartz has also passed the Securities Industry Essentials Examination (SIE). David Swartz has previously worked at MORGAN STANLEY & CO. INCORPORATED and MORGAN STANLEY DW INC., both in Wellesley, Massachusetts. David Swartz has a broad range of experience in the financial services industry, including providing investment advice, financial planning, and portfolio management services to a wide range of clients. David Swartz is committed to providing his clients with the highest level of service and personalized attention.
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.
Asset allocation advice
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.
See schedule d miscellaneous
1
2
MA
05/13/2020 - Present
Morgan Stanley (Wellesley MA)
MA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (WELLESLEY MA)
MA
03/10/2000 - 04/02/2007
MORGAN STANLEY DW INC. (WELLESLEY MA)
BOTH
Issued 03/28/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/16/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/10/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/21/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/07/2005
Series 3 - National Commodity Futures Examination
BC
Issued 03/21/2000
Series 31 - Futures Managed Funds Examination
BC
Issued 03/09/2000
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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