Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Floyd? Claim Your ProfileFloyd Lawrence Schwartz is a financial advisor with over 30 years of experience in the industry. Floyd is currently registered with Raymond James Financial Services Advisors, Inc. and has a broad range of experience in the financial services industry. Floyd's previous employers include Wells Fargo Advisors Financial Network, LLC, Raymond James Financial Services, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Paine Webber Incorporated and Lehman Brothers Inc. Floyd has worked in various roles in the industry, including financial advisor, investment advisor representative, and general securities principal. Floyd's career highlights include passing Series 7, 3, 63 and 65 exams, earning the CFP and ChFC designations, and consistently earning high marks from his clients. Floyd is committed to providing his clients with personalized financial advice that meets their individual needs.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
CA
04/05/2022 - Present
Raymond James Financial Services Advisors, Inc. (Newport Beach CA)
CA
11/07/2013 - 05/09/2022
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (NEWPORT BEACH CA)
CA
03/19/1999 - 11/08/2013
RAYMOND JAMES FINANCIAL SERVICES, INC. (NEWPORT BEACH CA)
NY
02/24/1995 - 03/24/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NJ
01/03/1992 - 03/27/1995
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
09/22/1987 - 01/17/1992
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 05/20/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/09/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/17/1999
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/26/1987
Series 3 - National Commodity Futures Examination
BC
Issued 09/19/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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