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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Deborah? Claim Your ProfileDeborah Rene Schwartz is a financial advisor with over 15 years of experience in the industry. Deborah has worked for several firms including Merrill Lynch, HSBC Securities, Credit Suisse, and Wedbush Securities. Deborah currently works at Morgan Stanley as a registered representative and investment advisor representative. Deborah has a Series 7, Series 63, Series 66, Series 86, and Series 87 license. Deborah is licensed in numerous states across the United States. Deborah's firm offers a range of investment services including financial planning, portfolio management, pension consulting and educational seminars.
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
CA
12/14/2017 - Present
Morgan Stanley (Beverly Hills CA)
CA
06/03/2013 - 10/16/2013
WEDBUSH SECURITIES INC. (LOS ANGELES CA)
CA
06/30/2010 - 01/27/2011
UNX LLC (BURBANK CA)
NY
06/12/2006 - 07/18/2007
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
NY
09/06/2005 - 05/10/2006
HSBC SECURITIES (USA) INC. (NEW YORK CITY NY)
NY
10/18/2000 - 07/18/2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 02/04/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/19/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/13/2016
Series 7 - General Securities Representative Examination
BC
Issued 08/08/2013
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 06/27/2013
Series 86 - Research Analyst Exam - Part I Analysis Module
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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