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Detailed Report
HALEY MARIE SCHWARTZ
HALEY SCHWARTZ
CRD#: 6022987
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Investment Adviser
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Previous Broker
RKL PRIVATE WEALTHCRD#: 122693 1800 FRUITVILLE PIKE
LANCASTER, PA 17601
Registration History
20122014201620182020202220242026IARKL PRIVATE WEALTH (CRD# 122693)2019 - Present (6 years)BPRUCO SECURITIES, LLC. (CRD# 5685)2012 - 2017 (5 years)IARKL WEALTH MANAGEMENT LLC (CRD# 122693)2017 - 2018 (1 year)IAPRUDENTIAL FINANCIAL PLANNING ... (CRD# 5685)2013 - 2017 (4 years)
Disclosure(s)
View By:
1/3/2017
Customer Dispute
Denied
License(s)

State Registrations

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Pennsylvania 1/7/2019
Current Registration(s)
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RKL PRIVATE WEALTH (CRD#:122693)
1800 FRUITVILLE PIKE, LANCASTER, PA 17601
Registered with this firm since 1/7/2019
Previous Registration(s)
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 08/08/2017 - 12/10/2018 RKL WEALTH MANAGEMENT LLC (CRD#:122693) LANCASTER, PA
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 04/17/2013 - 07/05/2017 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) YORK, PA
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 02/20/2012 - 07/05/2017 PRUCO SECURITIES, LLC. (CRD#:5685) YORK, PA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.
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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
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.