Individual Firm
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ROBERT MICHAEL SCHWARTZ
CRD#: 4707603
IA
B
PRIVATE ADVISOR GROUP, LLCCRD#: 155216 831 Court Street
Honesdale, PA 18431
Honesdale, PA 18431
LPL FINANCIAL LLCCRD#: 6413 831 COURT STREET
HONESDALE, PA 18431
HONESDALE, PA 18431
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Disclosures
21
Years of Experience
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State Registrations
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California 4/29/2020
B
North Carolina 9/15/2020
B
Florida 5/10/2011
B
Pennsylvania 5/10/2011
B
Maryland 5/10/2011
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Pennsylvania 8/25/2014
B
New Jersey 5/10/2011
B
South Carolina 9/14/2020
B
New York 5/10/2011
SRO Registrations
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Registered with this firm since 8/25/2014
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Registered with this firm since 5/10/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/10/2011 - 10/28/2015 | HAWLEY, PA | |
IA | 02/16/2011 - 05/25/2011 | HONESDALE, PA | |
B | 06/01/2009 - 05/25/2011 | HONESDALE, PA | |
B | 12/18/2003 - 06/01/2009 | NEW YORK, NY |
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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.
IA
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.