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David Schwartz

Regions Securities LLC

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About David Schwartz

David Schwartz is a financial advisor with Regions Securities LLC. David has been in the securities industry since 2004. David is registered with FINRA and the state of Georgia. David is a Series 7, Series 24, Series 55, Series 63, and Series 99TO registered representative. David is experienced with individuals and companies, including retail, high net worth and institutional investors.

Firm Information

David Schwartz is currently registered with Regions Securities LLC. Regions Securities LLC is a Limited Liability Company that was formed on October 12, 2011 and is registered in all 50 states and the District of Columbia. The firm is also registered with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

137

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.

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.

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David Schwartz’s Registration & Firm History

GA

04/20/2021 - Present

Regions Securities LLC (Atlanta GA)

MO

02/27/2015 - 04/21/2021

WELLS FARGO CLEARING SERVICES, LLC (ST. LOUIS MO)

SC

10/28/2013 - 09/02/2014

LPL FINANCIAL LLC (FORT MILL SC)

MO

06/05/2006 - 11/23/2011

FIRST CLEARING, LLC (ST. LOUIS MO)

WA

05/01/2002 - 12/02/2003

METROPOLITAN INVESTMENT SECURITIES, INC. (SPOKANE WA)

CA

05/30/2001 - 09/10/2001

MR. STOCK, INC. (SAN FRANCISCO CA)

CA

02/03/1999 - 06/05/2001

J.B. OXFORD & COMPANY (SHERMAN OAKS CA)

CA

08/13/1998 - 10/02/1998

BROOKSTREET SECURITIES CORPORATION (SAN JUAN CAPISTRANO CA)

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Licenses & Designations

BC

Issued 12/13/2021

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/18/2021

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/02/2000

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 08/10/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for David Schwartz.
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