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Michael Alan Schwartz

Houlihan Lokey Capital, Inc.

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About Michael Alan Schwartz

Michael Alan Schwartz is a financial professional with over 20 years of experience in the industry. Michael currently works at Houlihan Lokey Capital, Inc. in New York, NY. Michael previously held positions at Lazard Freres & Co. LLC, Lazard Middle Market LLC, Cowen and Company, Ramus Securities LLC, and Jefferies & Company, Inc. Michael is licensed in the state of New York.

Firm Information

Michael Schwartz is currently registered with Houlihan Lokey Capital, Inc.. Houlihan Lokey Capital, Inc. is a Corporation formed on January 9, 1996, and is registered in all 50 states and the District of Columbia. The firm has been approved for registration with the Securities and Exchange Commission (SEC).

Not reported

Assets Under Management

Not reported

Total Clients

651

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.

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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Michael Schwartz’s Registration & Firm History

NY

04/22/2024 - Present

Houlihan Lokey Capital, Inc. (NEW YORK NY)

NY

03/31/2022 - 01/23/2024

LAZARD FRERES & CO. LLC (NEW YORK NY)

NY

10/06/2016 - 03/31/2022

LAZARD MIDDLE MARKET LLC (NEW YORK NY)

NY

01/26/2010 - 10/14/2016

COWEN AND COMPANY (NEW YORK NY)

NY

05/03/2006 - 12/31/2009

RAMIUS SECURITIES LLC (NEW YORK NY)

NJ

08/06/2004 - 05/01/2006

JEFFERIES & COMPANY, INC. (SHORT HILLS NJ)

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Licenses & Designations

BC

Issued 08/24/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/20/2016

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/18/2014

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 03/24/2005

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 01/13/2005

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 08/05/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Michael Alan Schwartz.
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