Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stuart? Claim Your ProfileStuart N. Schwartz is a registered representative with Oppenheimer & Co. Inc. in Dallas, TX. Stuart has been in the industry since May 1, 1995. Stuart specializes in providing financial planning, portfolio management for individuals, businesses and pooled investment vehicles, as well as pension consulting and selection of other advisors. Stuart has previously worked with BANC OF AMERICA INVESTMENT SERVICES, INC., Oppenheimer & Co. Inc. and CIBC WORLD MARKETS CORP. Stuart is registered in 9 states, holds the Series 7, Series 63, Series 65 and SIE licenses, and has been active in the industry for over 27 years.
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
TX
11/18/2015 - Present
Oppenheimer & Co. Inc. (DALLAS TX)
TX
05/05/2004 - 02/02/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (ADDISON TX)
NY
01/03/2003 - 05/07/2004
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
04/20/2000 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NJ
05/02/1995 - 04/28/2000
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
IA
Issued 09/29/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/21/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/13/1995
Series 7 - General Securities 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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