James M. Schwarz

CLEAR RETIREMENT ADVICE LLC

San Mateo, CA 94403

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CRD#: 1170765

Professional summary

James Marshall Schwarz, CFP® is a registered financial advisor currently at CLEAR RETIREMENT ADVICE LLC located in San Mateo, California.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. James has worked at 2 firms and has passed the Series 66, SIE, Series 7, Series 9 and Series 10 exams.

Question & Answer

What are your service offerings?

Retirement Planning

Investment Planning

Social Security Planning

Retirement Income Management

Comprehensive Financial Planni...

Health Care

Tax Planning

Do you have an area of expertise or specialization?

Charitable Giving

Financial Psychology/Coaching

Fixed Fee (Subscription, Retai...

High Net Worth Client Needs

Investment Advice with Ongoing...

Retirement Planning & Distribu...

What is your minimum asset requirement?

500K

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

James Marshall Schwarz is a limited partner in a family limited partnership, Quarry Hill. He have no control over any decisions of any kind. He receives no commissions or compensation of any kind.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Marshall Schwarz's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2016

Experience

Current

March 12, 2018 - Present

CLEAR RETIREMENT ADVICE LLC

Office #1: 1900 S Norfolk St, Suite 350, San Mateo, CA 94403

RIA

CRD#: 292667

San Mateo, CA

Past

September 1, 2011 - October 16, 2017

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

MENLO PARK, CA

Past

July 28, 2011 - October 16, 2017

CHARLES SCHWAB & CO., INC.

CRD#: 5393

MENLO PARK, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CLEAR RETIREMENT ADVICE LLC

CRD#: 292667 / SEC#: 801-132499

RIA

Registered Investment Advisory firm - (4/22/2025 Approved)

California

Registered Investment Advisory firm - (5/25/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(3/12/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/31/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/16/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/27/2011

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 9/16/2013

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 8/5/2013

General Securities Sales Supervisor - General Module Examination

Current Firm

CLEAR RETIREMENT ADVICE LLC

CRD#: 292667 / SEC#: 801-132499

RIA

Registered Investment Advisory firm - (4/22/2025 Approved)

California

Registered Investment Advisory firm - (5/25/2025 Terminated)

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Contact information

Main Address

1900 S Norfolk St, Suite 350, San Mateo, CA 94403

Mailing Address

Phone number

(650) 446-5440

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A-CLEAR RETIREMENT ADVICE LLC (3/21/2025)

Regulatory assets under management

Total Number of Accounts	178
AUM (Assets Under Management)	$ 108,156,980

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.

Contact information

(xxx) xxx-xxxx

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Firm Stability Insights

James M. Schwarz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Marshall Schwarz's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

CLEAR RETIREMENT ADVICE LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/31/2011

SIE

Date: 10/16/2017

Series 7

Date: 7/27/2011

Series 9

Date: 9/16/2013

Series 10

Date: 8/5/2013

Current Firm

CLEAR RETIREMENT ADVICE LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CLEAR RETIREMENT ADVICE LLC

TRUST BUT VERIFY

Contact information

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