Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Pauline? Claim Your ProfilePauline Ann Schwartz is a registered representative and investment advisor representative with Wells Fargo Clearing Services, LLC. Pauline is licensed in Arizona, California, Colorado, Connecticut, Florida, Georgia, Maryland, Massachusetts, New Jersey, New York, Ohio, Pennsylvania, and Virginia. Pauline has been in the securities industry since December 2018. Pauline Schwartz is a Series 7TO, Series 66, and SIE licensed professional. She provides investment advisory and financial planning services to individuals, businesses, and institutions. Pauline Schwartz specializes in investment consulting, pension consulting, and selection of other advisers. Pauline is affiliated with Wells Fargo Clearing Services, LLC.
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.
Investment consulting services to institutional clients
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
NY
07/27/2021 - Present
Wells Fargo Clearing Services, LLC (WOODBURY NY)
BOTH
Issued 01/11/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/14/2018
Series 7TO - General Securities Representative Examination
BC
Issued 11/08/2018
SIE - Securities Industry Essentials Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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