Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Richard Schwarz is a financial advisor currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Steven has been active in the financial industry for over 6 years. Steven has worked for several firms, including Equitable Advisors, LLC, Northwestern Mutual Investment Services, LLC, and Joseph Gunnar & Co. LLC. Steven's experience and qualifications include holding both Series 63 and Series 66 licenses. Steven has also passed the Series 7 and SIE exams.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
11/10/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
04/06/2022 - 06/15/2022
ARETE WEALTH MANAGEMENT, LLC (New York NY)
NY
01/27/2021 - 03/14/2022
INDEPENDENT BROKERAGE SOLUTIONS LLC (New York NY)
NY
07/27/2020 - 10/05/2020
EQUITABLE ADVISORS, LLC (WOODBURY NY)
NY
06/19/2018 - 08/01/2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MELVILLE NY)
NY
12/08/2016 - 01/06/2017
JOSEPH GUNNAR & CO. LLC (MELVILLE NY)
NY
08/30/2016 - 12/20/2016
AMERICAN CAPITAL PARTNERS, LLC (HAUPPAUGE NY)
BOTH
Issued 06/25/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/28/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/30/2016
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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