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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lawrence? Claim Your ProfileLawrence Elliot Schwartz is a financial professional with over 35 years of experience in the industry. Lawrence is currently registered with Wells Fargo Clearing Services, LLC. Lawrence holds Series 3, 7, 9, 10, 24, 31, 63 and 65 licenses and is a registered Investment Advisor in both New Mexico and Texas. Lawrence has worked with a variety of firms during his career including Morgan Stanley, Morgan Stanley & Co. Incorporated and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Lawrence has experience with financial planning, portfolio management for both individuals and businesses, and investment consulting services to institutional clients. Lawrence's expertise spans a range of investment products and strategies, allowing him to provide comprehensive and tailored solutions to meet client 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.
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
NM
03/05/2013 - Present
Wells Fargo Clearing Services, LLC (SANTA FE NM)
NM
06/01/2009 - 02/28/2013
MORGAN STANLEY (ALBUQUERQUE NM)
NM
08/01/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (ALBUQUERQUE NM)
NM
06/25/1986 - 08/07/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ALBUQUERQUE NM)
IA
Issued 12/28/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/18/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/05/2017
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/24/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/08/1994
Series 24 - General Securities Principal Examination
BC
Issued 05/17/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/23/2017
Series 31 - Futures Managed Funds Examination
BC
Issued 07/19/1988
Series 3 - National Commodity Futures Examination
BC
Issued 06/21/1986
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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