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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Mark Schwartz is a financial professional with over 40 years of experience in the industry. Thomas Mark Schwartz is currently registered with Goldman Sachs & Co. LLC. Thomas Mark Schwartz has a wide range of experience in the financial services industry, having passed numerous exams including the Series 3, 5, 7, 9, 10, 57TO, 63, and 65. Thomas Mark Schwartz is registered in numerous states across the country. Thomas Mark Schwartz's registration status is active in both the Broker-Dealer and Investment Advisor space.
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.
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.
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.
Execution charges, custody, management fee
1
2
CA
12/21/1983 - Present
Goldman Sachs & Co. LLC (LOS ANGELES CA)
IA
Issued 05/19/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/21/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/19/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/18/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/06/1984
Series 3 - National Commodity Futures Examination
BC
Issued 02/03/1984
Series 5 - Interest Rate Options Examination
BC
Issued 12/17/1983
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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