Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Lawrence Schwartz is a financial advisor who has been in the industry since April 24, 1986. Mark is currently registered with Morgan Stanley as a Registered Representative and Investment Advisor Representative. Mark's previous experience includes roles at UBS Financial Services Inc. and Rodman & Renshaw Inc. Mark has a wide range of experience and holds licenses in several states, including Illinois, California, and Texas.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
IL
07/02/2015 - Present
Morgan Stanley (Chicago IL)
IL
04/15/1994 - 07/13/2015
UBS FINANCIAL SERVICES INC. (CHICAGO IL)
IL
07/20/1988 - 04/21/1994
RODMAN & RENSHAW INC. (CHICAGO IL)
NA
04/25/1986 - 08/01/1988
DREXEL BURNHAM LAMBERT INCORPORATED
BOTH
Issued 05/15/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/20/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/30/1990
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/29/1986
Series 15 - Foreign Currency Options Examination
BC
Issued 04/19/1986
Series 7 - General Securities Representative Examination
BC
Issued 03/17/1986
Series 3 - National Commodity Futures Examination
BC
Issued 02/11/1986
Series 5 - Interest Rate Options Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Mark Schwartz is the right advisor for you? Invested Better is here to help.
