Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dori? Claim Your ProfileDori Schwartz is a financial advisor with over 8 years of experience in the industry. Dori is registered with Stifel, Nicolaus & Company, Inc. in New Jersey, New York, and Texas. Dori has also previously been registered with LPL Financial LLC and Northwestern Mutual Investment Services, LLC. Dori has a Series 7, Series 66 and SIE. Dori's areas of expertise include providing financial planning and investment advice to individuals and businesses. Dori has experience working with a variety of clients, including high-net-worth individuals, corporations, and insurance companies.
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.
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
NY
01/02/2020 - Present
Stifel, Nicolaus & Company, Inc. (NEW YORK NY)
NJ
02/25/2015 - 05/21/2015
LPL FINANCIAL LLC (FAIRFIELD NJ)
NJ
09/22/2014 - 03/04/2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (FAIRFIELD NJ)
NA
07/20/1992 - 08/17/1993
SBC GOVERNMENT SECURITIES INC
BOTH
Issued 11/25/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/22/2014
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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