Frank G. Schwartz
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Frank George Schwartz JR, who also goes by Beaver Schwartz Jr, Frank George Schwartz, Frank George Schwrtz, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1982. Frank had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2016 - December 6, 2018
KESTRA ADVISORY SERVICES, LLC
February 2, 2001 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
November 25, 1997 - December 6, 2018
KESTRA INVESTMENT SERVICES, LLC
August 13, 1996 - September 11, 2009
MML INVESTORS SERVICES, LLC
November 22, 1995 - December 1, 1997
WOODBURY FINANCIAL SERVICES, INC.
December 11, 1993 - December 31, 1996
WALNUT STREET SECURITIES, INC.
August 24, 1993 - December 13, 1993
NEW ENGLAND SECURITIES
August 5, 1982 - December 7, 1995
G. R. PHELPS & CO., INC.
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
