Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Schwarz is a financial advisor with Raymond James & Associates, Inc. Michael has been in the industry since June 9, 1992, and has a wide range of experience in the financial services industry. Michael has held positions at several firms, including Nomura Securities International, Inc., Cowen and Company, Warburg Dillon Read LLC, and Lehman Brothers Inc. Michael holds a Series 7, Series 10, Series 9, Series 55, Series 57TO, and SIE license. Michael is registered in 16 states and the District of Columbia. Michael specializes in providing financial advice to individuals, families, and businesses. Michael is committed to providing his clients with personalized financial advice and guidance to help them achieve their financial goals.
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.
Please see note in schedule d - miscellaneous
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
CA
10/30/2012 - Present
Raymond James & Associates, Inc. (SAN FRANCISCO CA)
CA
09/13/2010 - 10/05/2012
NOMURA SECURITIES INTERNATIONAL, INC. (SAN FRANCISCO CA)
CA
04/27/2000 - 09/08/2010
COWEN AND COMPANY (SAN FRANCISCO CA)
NY
07/17/1996 - 04/12/2000
WARBURG DILLON READ LLC (NEW YORK NY)
CT
06/11/1998 - 06/29/1998
SBC WARBURG DILLON READ INC. (STAMFORD CT)
NY
03/27/1994 - 06/11/1996
LEHMAN BROTHERS INC. (NEW YORK NY)
TX
08/28/1992 - 05/04/1993
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NY
05/25/1988 - 09/18/1989
NEWBRIDGE SECURITIES INC. (NEW YORK NY)
BC
Issued 09/14/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/27/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/27/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/01/2011
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 08/21/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
I
Investors' Exchange LLC
M
MEMX LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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