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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Allen Schwartz is an active registered representative with Morgan Stanley, and has been in the financial industry since 1967. Michael is a registered representative with the state of New Jersey and has been actively registered with the state of New York since 2021. Before joining Morgan Stanley, Michael worked at CITIGROUP GLOBAL MARKETS INC. from 1993 to 2009. Michael is licensed to sell securities in 37 states and has successfully passed 7 FINRA exams throughout their career. Michael holds active investment advisor registrations in New Jersey and New York, and a resident investment advisor registration in Texas. Michael specializes in providing portfolio management services to both businesses and individuals, in addition to offering financial planning advice.
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
NY
04/02/2020 - Present
Morgan Stanley (WATER MILL NY)
NJ
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (FLORHAM PARK NJ)
NY
09/17/1979 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
01/18/1978 - 09/17/1979
LOEB PARTNERS
NA
01/04/1977 - 01/18/1978
LOEB RHOADES & CO. INC.
NA
10/06/1975 - 01/04/1977
LOEB, RHOADES & CO. INC.
NA
01/03/1967 - 11/15/1975
EDWARDS & HANLY
IA
Issued 04/01/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/07/1979
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/19/1971
Series 40 - Registered Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/17/1981
Series 5 - Interest Rate Options Examination
BC
Issued 09/07/1977
PC - AMEX Put and Call Exam
BC
Issued 12/30/1966
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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