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Simi Schwartz

Steward Partners Investment Advisory, LLC

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About Simi Schwartz

Simi Schwartz is a financial advisor with Steward Partners Investment Advisory, LLC. Simi has been in the industry since 2009. Simi Schwartz holds the Series 63, 65, and 7 licenses. Simi is also a Certified Financial Planner. Simi Schwartz has previously worked at Raymond James Financial Services, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Sanford C. Bernstein & Co., LLC. Simi Schwartz is registered to provide investment advice in 18 states.

Firm Information

Simi Schwartz is currently registered with Steward Partners Investment Advisory, LLC. Steward Partners Investment Advisory, LLC is an investment advisor with 354 registered representatives and 254 licensed agents. The firm has a total of 45203 accounts under management with assets totaling $20,433,200,577. Steward Partners Investment Advisory, LLC provides financial planning, pension consulting, selection of other advisors, and portfolio management for individuals. The firm also offers other advisory services including financial consulting. They serve a variety of client types including charitable organizations, corporations or other businesses, high-net-worth individuals, individuals other than high-net-worth, pension and profit sharing plans, and state or municipal government entities.
Steward Partners Investment Advisory, LLC

140 E. 45TH STREET

NEW YORK, NY 10017

$20.43B

Assets Under Management

21,758

Total Clients

356

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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financial consulting

Financial consulting

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Simi Schwartz’s Registration & Firm History

NY

06/15/2021 - Present

Steward Partners Investment Advisory, LLC (NEW YORK NY)

NJ

06/15/2021 - 05/27/2022

RAYMOND JAMES FINANCIAL SERVICES, INC. (PARAMUS NJ)

NJ

12/21/2010 - 06/16/2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PARAMUS NJ)

NY

06/25/2009 - 12/16/2010

SANFORD C. BERNSTEIN & CO., LLC (NEW YORK NY)

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Licenses & Designations

IA

Issued 1/14/2011

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 7/27/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 6/23/2009

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Simi Schwartz.
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