Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Schwartz is a financial advisor with Oppenheimer & Co. Inc. Michael has over 53 years of experience in the financial services industry. Prior to joining Oppenheimer & Co. Inc., Michael worked at CIBC WORLD MARKETS CORP., L. F. ROTHSCHILD & CO. INCORPORATED, NEUBERGER & BERMAN, ADVEST, INC., and PRESSMAN, FROHLICH & FROST, INC. Michael holds a Series 63, Series 24, Series 9, Series 10, Series 4, Series 12, and Series 40 licenses, as well as a Series 7TO, SIE, Series 15, Series 5, Series 41, PC, Series 000, and Series 1 licenses. Michael specializes in providing financial planning, pension consulting, selection of other advisors, portfolio management for businesses, and portfolio management for individuals.
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.
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.
1
2
NY
04/07/2021 - Present
Oppenheimer & Co. Inc. (NEW YORK NY)
NJ
10/29/2007 - 10/22/2014
FREEDOM INVESTMENTS, INC. (EDISON NJ)
NY
02/25/1988 - 01/31/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NA
01/13/1975 - 03/02/1988
L. F. ROTHSCHILD & CO. INCORPORATED
NA
08/13/1974 - 02/20/1975
NEUBERGER & BERMAN
NA
10/01/1971 - 07/10/1974
ADVEST, INC.
NA
10/21/1969 - 10/17/1971
PRESSMAN, FROHLICH & FROST, INC.
BC
Issued 01/25/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/13/1977
Series 4 - Registered Options Principal Examination
BC
Issued 05/26/1977
Series 12 - NYSE Branch Manager Examination
BC
Issued 05/23/1977
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 11/09/1982
Series 15 - Foreign Currency Options Examination
BC
Issued 10/14/1981
Series 5 - Interest Rate Options Examination
BC
Issued 12/03/1979
Series 41 - NYSE Allied Member Examination
BC
Issued 05/21/1977
PC - AMEX Put and Call Exam
BC
Issued 09/17/1965
Series 000 - General Securities Principal Examination
BC
Issued 09/17/1965
Series 1 - Registered Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
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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