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ERIC MATTHEW SCHWARTZ
CRD#: 3140360
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 2100 Park Place
El Segundo, CA 90245
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2009 - 2009 (<1 year)2 FIRMS2009 - 2024 (14 years)2 FIRMS2024 - Present (<1 year)BKINECTA FINANCIAL & INSURANCE ... (CRD# 136597)2010 - Present (15 years)BCUSO FINANCIAL SERVICES, L.P. (CRD# 42132)2002 - 2009 (6 years)BCAL FED INVESTMENTS (CRD# 19631)2001 - 2002 (<1 year)BDREYFUS INVESTMENT SERVICES CO... (CRD# 17477)2000 - 2001 (<1 year)BDREYFUS FINANCIAL SERVICES COR... (CRD# 42430)2000 - 2000 (<1 year)BVANGUARD MARKETING CORPORATION (CRD# 7452)1999 - 2000 (1 year)
License(s)

State Registrations

B
Alabama 10/28/2024

B
Michigan 10/28/2024

B
Alaska 10/28/2024

B
Montana 12/2/2024

B
Arizona 10/28/2024

B
Nevada 10/28/2024

B
Arkansas 10/28/2024

B
New Jersey 10/21/2024

B
California 1/5/2010

B
New Mexico 10/28/2024

IA
California 10/21/2024

B
New York 10/21/2024

B
Colorado 10/21/2024

B
North Carolina 10/29/2024

B
Florida 10/21/2024

B
Oregon 10/28/2024

B
Georgia 10/21/2024

B
South Carolina 10/28/2024

B
Hawaii 10/21/2024

B
Texas 10/21/2024

B
Idaho 10/21/2024

IA
Texas 10/21/2024

B
Illinois 10/21/2024

B
Utah 10/28/2024

B
Indiana 10/28/2024

B
Virginia 10/28/2024

B
Kentucky 10/28/2024

B
Washington 10/21/2024

B
Maine 10/28/2024

B
Wisconsin 10/28/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
2100 Park Place, El Segundo, CA 90245
Long Beach, CA
Registered with this firm since 10/21/2024

B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
2100 Park Place, El Segundo, CA 90245
Long Beach, CA
Registered with this firm since 10/21/2024

B
KINECTA FINANCIAL & INSURANCE SERVICES (CRD#:136597)
1440 ROSECRANS AVE, MANHATTAN BEACH, CA 90266
Registered with this firm since 1/5/2010

Previous Registration(s)
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IA
12/14/2009 - 10/28/2024 LPL FINANCIAL LLC (CRD#:6413) MANHATTAN BEACH, CA
B
12/14/2009 - 10/28/2024 LPL FINANCIAL LLC (CRD#:6413) MANHATTAN BEACH, CA
B
07/02/2009 - 12/03/2009 FIRST BROKERAGE AMERICA, L.L.C. (CRD#:43431) LAKEWOOD, CA
IA
05/06/2009 - 06/12/2009 CUSO FINANCIAL SERVICES, L.P. (CRD#:42132) SAN DIEGO, CA
B
07/02/2002 - 06/12/2009 CUSO FINANCIAL SERVICES, L.P. (CRD#:42132) SAN DIEGO, CA
B
11/01/2001 - 07/19/2002 CAL FED INVESTMENTS (CRD#:19631) SACRAMENTO, CA
B
09/03/2000 - 05/23/2001 DREYFUS INVESTMENT SERVICES CORPORATION (CRD#:17477) PITTSBURGH, PA
B
09/03/2000 - 12/31/2000 DREYFUS FINANCIAL SERVICES CORPORATION (CRD#:42430) NEW YORK, NY
B
06/25/1999 - 08/21/2000 VANGUARD MARKETING CORPORATION (CRD#:7452) MALVERN, PA
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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.