Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dena? Claim Your ProfileDena Kate Schwartz is a registered investment advisor representative in California with over 25 years of experience in the financial services industry. Dena has been with LPL Financial LLC since June 2011. Previously, Dena worked at First Allied Securities, Inc., Wells Fargo Investments, LLC, MML Investors Services, Inc., Mutual Service Corporation, and MONY Securities Corporation. Dena holds Series 6, 7, 9, 10, 24, 63, 65, 99TO and SIE licenses. Dena specializes in providing financial planning, portfolio management for individuals and businesses, pension consulting, educational seminars, and selection of other advisors. Dena is registered in 53 states and the District of Columbia.
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.
Consulting and other non-discretionary advisory services
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.
1
2
CA
08/31/2023 - Present
LPL Financial LLC (SAN DIEGO CA)
CA
09/28/2010 - 07/05/2011
FIRST ALLIED SECURITIES, INC. (SAN DIEGO CA)
CA
08/30/2004 - 04/28/2009
WELLS FARGO INVESTMENTS, LLC (SAN DIEGO CA)
MA
03/25/2003 - 07/30/2004
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
MA
03/01/2001 - 03/31/2003
MUTUAL SERVICE CORPORATION (BOSTON MA)
NY
06/21/1995 - 03/14/2001
MONY SECURITIES CORPORATION (NEW YORK NY)
IA
Issued 08/24/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/20/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/16/2017
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/13/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/08/2010
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 03/22/1999
Series 7 - General Securities Representative Examination
BC
Issued 06/20/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
Not sure Dena Schwartz is the right advisor for you? Invested Better is here to help.
