Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Alan Schwartz is a registered Investment Advisor Representative with Spectrum Investment Advisors, Inc. in Mequon, Wisconsin. Scott has been in the industry since 1993 and has held previous positions with LPL Financial LLC, Wells Fargo Investments, LLC, Wells Fargo Securities Inc., Forum Financial Services, Inc., and Strong Funds Distributors, Inc. Scott holds Series 6, Series 63, Series 65, and SIE licenses. Scott specializes in providing financial planning, pension consulting, and portfolio management services to individuals, high-net-worth individuals, and pension and profit-sharing plans.
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.
Personalized portfolio management to meet individual financial objectives.
Advice on matters not involving securities.
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.
A percentage of the total value of assets under management is charged.
By plan participant flat fees
1
2
WI
12/08/2014 - Present
Spectrum Investment Advisors, Inc. (MEQUON WI)
WI
06/16/2014 - 10/13/2015
LPL FINANCIAL LLC (MEQUON WI)
CA
05/02/2001 - 04/28/2003
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
CA
07/12/1999 - 05/02/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
ME
05/25/1999 - 07/12/1999
FORUM FINANCIAL SERVICES, INC. (PORTLAND ME)
WI
03/02/1993 - 09/24/1997
STRONG FUNDS DISTRIBUTORS, INC. (MENOMONEE FALLS WI)
IA
Issued 11/25/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/11/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/13/2015
SIE - Securities Industry Essentials Examination
BC
Issued 06/16/2014
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
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