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PAUL CHARLES SCHWARTZ
CRD#: 2496871
IA
Investment Adviser
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Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 40 WEST CACHE VALLEY BLVD, BLDG 5B
LOGAN, UT 84341
CETERA ADVISORS LLCCRD#: 10299 40 WEST CACHE VALLEY BLVD, BLDG 5B
LOGAN, UT 84341
Registration History
1995200020052010201520202025IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2024 - Present (<1 year)BCETERA ADVISORS LLC (CRD# 10299)2012 - Present (13 years)BPACIFIC WEST SECURITIES, INC. (CRD# 6390)2008 - 2012 (4 years)BCAPITAL FINANCIAL SERVICES, INC. (CRD# 8408)2007 - 2008 (<1 year)BUNITED HERITAGE FINANCIAL SERV... (CRD# 35316)1998 - 2007 (8 years)BSTEPHEN A. KOHN & ASSOCIATES, LTD. (CRD# 41067)1997 - 1999 (1 year)BWMA SECURITIES, INC. (CRD# 32625)1994 - 1997 (3 years)IACETERA ADVISORS LLC (CRD# 10299)2012 - 2024 (12 years)IAPACIFIC WEST FINANCIAL CONSULT... (CRD# 108728)2009 - 2012 (2 years)
License(s)

State Registrations

B
Arizona 4/4/2019

B
Pennsylvania 12/21/2018

B
California 3/22/2019

B
Utah 2/28/2012

B
Idaho 2/28/2012

IA
Utah 3/21/2024

B
Kansas 3/15/2019

B
Washington 2/28/2012

B
Nevada 1/14/2022

B
Wyoming 2/28/2012

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
40 WEST CACHE VALLEY BLVD, BLDG 5B, LOGAN, UT 84341
Registered with this firm since 3/21/2024

B
CETERA ADVISORS LLC (CRD#:10299)
40 WEST CACHE VALLEY BLVD, BLDG 5B, LOGAN, UT 84341
Registered with this firm since 2/28/2012

Previous Registration(s)
th hidden textth hidden textNameLocation
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02/28/2012 - 03/21/2024 CETERA ADVISORS LLC (CRD#:10299) GREENWOOD VILLAGE, IL
IA
06/30/2009 - 02/28/2012 PACIFIC WEST FINANCIAL CONSULTANTS INC (CRD#:108728) RENTON, WA
B
01/11/2008 - 02/28/2012 PACIFIC WEST SECURITIES, INC. (CRD#:6390) LOGAN, UT
B
03/07/2007 - 01/15/2008 CAPITAL FINANCIAL SERVICES, INC. (CRD#:8408) LOGAN, UT
B
12/17/1998 - 03/07/2007 UNITED HERITAGE FINANCIAL SERVICES, INC. (CRD#:35316) LOGAN, UT
B
11/07/1997 - 01/06/1999 STEPHEN A. KOHN & ASSOCIATES, LTD. (CRD#:41067) LUTZ, FL
B
11/29/1994 - 11/21/1997 WMA SECURITIES, INC. (CRD#:32625) DULUTH, GA
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.