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HOWARD SETH SCHWARTZ
CRD#: 706066
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 12531 HIGH BLUFF DR STE 400
SAN DIEGO, CA 92130
Registration History
19801985199019952000200520102015202020252 FIRMS2003 - Present (21 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1995 - 2003 (8 years)BSMITH BARNEY INC. (CRD# 7059)1993 - 1995 (1 year)BLEHMAN BROTHERS INC. (CRD# 7506)1988 - 1993 (5 years)BE. F. HUTTON & COMPANY INC (CRD# 235)1980 - 1988 (7 years)BDREXEL BURNHAM LAMBERT INCORPO... (CRD# 7323)1986 - 1986 (<1 year)IAPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1997 - 2003 (6 years)
License(s)

State Registrations

B
Arizona 7/1/2003

B
Missouri 7/12/2019

B
California 7/1/2003

B
Nevada 7/1/2003

IA
California 7/1/2003

B
New Jersey 7/1/2003

B
Colorado 7/1/2003

B
New York 7/1/2003

B
District of Columbia 2/11/2021

B
North Carolina 7/9/2021

B
Florida 7/1/2003

B
Ohio 7/3/2024

B
Georgia 7/1/2003

B
Oklahoma 7/9/2021

B
Hawaii 12/4/2013

B
Oregon 7/1/2003

B
Idaho 3/27/2015

B
Pennsylvania 6/6/2017

B
Illinois 7/1/2003

B
Rhode Island 3/5/2024

B
Iowa 7/1/2003

B
Tennessee 1/1/2019

B
Maryland 11/18/2024

B
Texas 7/1/2004

B
Massachusetts 5/2/2006

IA
Texas 10/20/2016

B
Michigan 5/29/2013

B
Virginia 3/12/2020

B
Minnesota 5/24/2022

B
Washington 7/1/2003

SRO Registrations

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
Nasdaq PHLX LLC

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
WELLS FARGO ADVISORS (CRD#:19616)
12531 HIGH BLUFF DR STE 400, SAN DIEGO, CA 92130
Registered with this firm since 7/1/2003

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
12531 HIGH BLUFF DR STE 400, SAN DIEGO, CA 92130
Registered with this firm since 7/1/2003

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
07/08/1997 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) SAN DIEGO, CA
B
03/27/1995 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
07/31/1993 - 04/11/1995 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
02/15/1988 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
03/21/1980 - 02/15/1988 E. F. HUTTON & COMPANY INC (CRD#:235)
B
07/28/1986 - 08/20/1986 DREXEL BURNHAM LAMBERT INCORPORATED (CRD#:7323)
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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.