Individual Firm
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DEBORAH RENE SCHWARTZ
CRD#: 4281942
IA
B
MORGAN STANLEYCRD#: 149777 9665 Wilshire Boulevard
Suite 600
Beverly Hills, CA 90212
Suite 600
Beverly Hills, CA 90212
0
Disclosures
16
Years of Experience
View By:
State Registrations
B
Alabama 8/23/2023
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New Jersey 2/4/2016
B
Arizona 10/22/2024
B
New York 2/4/2016
B
California 5/4/2016
B
North Carolina 4/1/2019
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California 11/19/2019
B
Ohio 12/24/2018
B
Colorado 8/28/2023
B
Oregon 9/21/2022
B
Connecticut 5/4/2016
B
Pennsylvania 6/3/2016
B
District of Columbia 1/5/2023
B
Rhode Island 12/14/2017
B
Florida 6/3/2016
B
South Carolina 9/8/2023
B
Illinois 6/3/2016
B
Tennessee 8/23/2023
B
Louisiana 12/14/2017
B
Texas 12/14/2017
B
Maryland 5/4/2016
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Texas 12/14/2017
B
Massachusetts 6/3/2016
B
Utah 5/28/2021
B
Nevada 12/14/2017
B
Virginia 5/4/2016
B
New Jersey 2/4/2016
B
Washington 4/29/2019
SRO Registrations
B
B
B
B
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Registered with this firm since 2/4/2016
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Registered with this firm since 1/13/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 06/03/2013 - 10/16/2013 | LOS ANGELES, CA | |
B | 06/30/2010 - 01/27/2011 | BURBANK, CA | |
B | 06/12/2006 - 07/18/2007 | NEW YORK, NY | |
B | 09/06/2005 - 05/10/2006 | NEW YORK CITY, NY | |
B | 10/18/2000 - 07/18/2005 | NEW YORK, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.