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Joel Richard Schwartz

U.s. Bancorp Investments, Inc.

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About Joel Richard Schwartz

Joel Schwartz is a financial advisor with U.S. Bancorp Investments, Inc. Joel is registered with FINRA and has been in the industry since 1994. Joel is also registered with the state of Minnesota as an investment advisor representative. U.S. Bancorp Investments, Inc. is a large investment advisory firm with offices in Saint Paul, Minnesota. Joel's specializations include providing financial planning, portfolio management, and publication of periodicals.

Firm Information

Joel Schwartz is currently registered with U.s. Bancorp Investments, Inc.. U.S. Bancorp Investments, Inc. is a corporation that provides financial planning, portfolio management, and other investment advisory services. Formed in 1974, the firm has approximately $1 billion - $10 billion in assets under management and is registered with the SEC and in all 50 states. The firm's main office is located in Saint Paul, Minnesota.
U.s. Bancorp Investments, Inc.

60 LIVINGSTON AVENUE

SAINT PAUL, MN 55107

$15.87B

Assets Under Management

3,360

Total Clients

1,960

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

12b-1,networking&shareholder serv,product partner arrangements

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Joel Schwartz’s Registration & Firm History

MN

12/06/2013 - Present

U.s. Bancorp Investments, Inc. (Minneapolis MN)

MN

01/26/1994 - 05/09/2007

U.S. BANCORP INVESTMENTS, INC. (SAINT PAUL MN)

MN

05/27/1999 - 07/22/1999

PIPER JAFFRAY INC. (MINNEAPOLIS MN)

MN

11/24/1993 - 01/24/1994

NORWEST INVESTMENT SERVICES, INC. (MINNEAPOLIS MN)

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Licenses & Designations

BOTH

Issued 11/18/2010

Series 66 - Uniform Combined State Law Examination

IA

Issued 02/22/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 02/18/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/23/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Joel Richard Schwartz.
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