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DOUGLAS ISAAC SCHWARTZ
DOUG SCHWARTZ, DOUGLAS SCHWARTZ
CRD#: 4706810
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 701 BRICKELL AVE
MIAMI, FL 33131
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2006 - 2009 (3 years)2 FIRMS2009 - Present (15 years)BLEHMAN BROTHERS INC. (CRD# 7506)2003 - 2006 (2 years)IALEHMAN BROTHERS INC. (CRD# 7506)2004 - 2006 (2 years)
License(s)

State Registrations

B
Arizona 4/28/2014

B
Minnesota 6/16/2017

B
California 10/23/2009

B
New Hampshire 4/5/2024

B
Colorado 2/17/2017

B
New Jersey 10/23/2009

B
Florida 10/23/2009

B
New York 1/8/2013

IA
Florida 10/23/2009

B
North Carolina 10/23/2009

B
Georgia 3/30/2012

B
South Carolina 10/31/2023

B
Idaho 9/22/2023

B
Tennessee 10/29/2015

B
Illinois 10/23/2009

B
Texas 10/23/2009

B
Indiana 10/23/2009

IA
Texas 6/15/2012

B
Maryland 10/31/2018

B
Virginia 10/23/2009

B
Massachusetts 8/22/2013

B
Wyoming 8/28/2024

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
701 BRICKELL AVE, MIAMI, FL 33131
Miami Beach, FL
Registered with this firm since 10/23/2009

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
701 BRICKELL AVE, MIAMI, FL 33131
Miami Beach, FL
Registered with this firm since 10/23/2009

Previous Registration(s)
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IA
06/19/2006 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) MIAMI, FL
B
06/16/2006 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) MIAMI, FL
IA
05/06/2004 - 06/29/2006 LEHMAN BROTHERS INC. (CRD#:7506) PALM BEACH, FL
B
10/14/2003 - 06/29/2006 LEHMAN BROTHERS INC. (CRD#:7506) PALM BEACH, FL
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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.