Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Howard? Claim Your ProfileHoward Schwartz is a registered investment advisor with over 40 years of experience in the financial services industry. Howard currently works for Wells Fargo Clearing Services, LLC, with an active brokerage scope and investment advisory scope in California and Texas. Previously, Howard has held positions at Prudential Securities Incorporated, Smith Barney Inc., Lehman Brothers Inc., E.F. Hutton & Company Inc., and Drexel Burnham Lambert Incorporated. Howard is a Series 63 and Series 65 licensed advisor, as well as having a Series 7 and SIE license. Howard specializes in providing investment consulting services to institutional clients, financial planning, and portfolio management for businesses and individuals.
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.
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.
Investment consulting services to institutional clients
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
10/20/2016 - Present
Wells Fargo Clearing Services, LLC (SAN DIEGO CA)
NY
03/27/1995 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
07/31/1993 - 04/11/1995
SMITH BARNEY INC. (NEW YORK NY)
NY
02/15/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
03/21/1980 - 02/15/1988
E. F. HUTTON & COMPANY INC
NA
07/28/1986 - 08/20/1986
DREXEL BURNHAM LAMBERT INCORPORATED
IA
Issued 07/17/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/02/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/15/1980
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe 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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