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Steven J. Schwartz
TFO WEALTH PARTNERS
Houston, TX 77007
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CRD#: 1245360
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Professional summary
Steven Joel Schwartz, CFP®, who also goes by Steven J Schwartz, is a registered financial advisor currently at TFO WEALTH PARTNERS located in Houston, Texas.
Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Steven has worked at 6 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steven J Schwartz
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.
(1) SYNERGY RISK MANAGEMENT, LTD > 600 N SHEPHERD DR SUITE 200 HOUSTON, TX 77007 > INVESTMENT RELATED > NON-VARIABLE INSURANCE AND ANNUITIES OWNER SINCE 1983 130 HOURS > PER MONTH, 70 OF WHICH ARE DURING SECURITIES TRADING HOURS> (2) 322 WESTHEIMER, LLC; (3) MNM PARTNERS, LTD; (4) BSK SCHWARTZ, LTD; (5) 1415 N. SHEPHERD, LLC > ALL LOCATED 600 N SHEPHERD SUITE 200 HOUSTON, TX 77007 > INVESTMENT RELATED> VARIOUS COMMERCIAL REAL ESTATE PROPERTIES OWNER SINCE MARCH> 2009 1-5 HOURS PER MONTH 0 OF WHICH ARE DURING SECURITIES TRADING > HOURS> (6) SYNERGY WEALTH PARTNERS, LLP > 600 N. SHEPHERD SUITE 200 HOUSTON, TX 77007 > NON-INVESTMENT RELATED > INDIRECT OWNER > SINCE 1983; MARKETING > 0-2 HOURS PER MONTH > ALL OF WHICH ARE DURING SECURITIES TRADING HOURS (8) AXIS DATA CAPITAL PARTNERS; NOT INVESTMENT-RELATED; 600 N SHEPHERD DR, SUITE 200, HOUSTON, TX 77007; PARTNERSHIP INVESTED IN SIGMASENSE; PARTNER; STARTED 02/2020; APPROXIMATELY 1-5 HOURS PER MONTH, NONE DURING SECURITIES TRADING HOURS; DISTRIBUTE REPORTS, COORDINATE CASH CALLS AND DISTRIBUTIONS, AND FACILITATE TAX AND ACCOUNTING FILINGS.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Joel Schwartz's 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®
Start date: 1994
Experience
Current
January 19, 2010 - Present
TFO WEALTH PARTNERS
Office #1: 600 N. Shepherd Drive Suite 200, Houston, TX 77007RIA
CRD#: 124407
Houston, TX
Past
March 20, 2007 - April 7, 2010
LPL FINANCIAL LLC
RIA
CRD#: 6413
HOUSTON, TX
Past
March 20, 2007 - April 7, 2010
LPL FINANCIAL LLC
BD
CRD#: 6413
HOUSTON, TX
Past
April 1, 2003 - March 21, 2007
AMERICAN GENERAL SECURITIES INCORPORATED
RIA
CRD#: 13626
HOUSTON, TX
Past
February 2, 2001 - March 21, 2007
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
HOUSTON, TX
Past
March 3, 1998 - February 16, 2001
OGILVIE SECURITY ADVISORS CORPORATION
BD
CRD#: 10105
CHICAGO, IL
Past
September 2, 1997 - March 3, 1998
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
Past
March 13, 1985 - August 29, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 5496
WELLESLEY HILLS, MA
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".
TW
TFO WEALTH PARTNERS
HUSCH FAMILY OFFICE, LLC | WVC WEALTH ADVISORS | TFO-TDC, LLC | TFO WEALTH PARTNERS, LLC | TFO WEALTH PARTNERS | TFO PHOENIX, LLC | TFO PHOENIX | TFO | TDC VIRGINIA | TDC ST. LOUIS, LLC | TDC ST. LOUIS | TDC INVESTMENT ADVISORY | TDC DENVER | TDC CALIFORNIA | SYNERGY WEALTH PARTNERS | SYNERGY INVESTMENT MANAGEMENT | RFG INVESTMENT ADVISORY
CRD#: 124407 / SEC#: 801-62074
RIA
Registered Investment Advisory firm - (5/28/2003 Approved)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
Texas(1/19/2010)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
TW
TFO WEALTH PARTNERS
HUSCH FAMILY OFFICE, LLC | WVC WEALTH ADVISORS | TFO-TDC, LLC | TFO WEALTH PARTNERS, LLC | TFO WEALTH PARTNERS | TFO PHOENIX, LLC | TFO PHOENIX | TFO | TDC VIRGINIA | TDC ST. LOUIS, LLC | TDC ST. LOUIS | TDC INVESTMENT ADVISORY | TDC DENVER | TDC CALIFORNIA | SYNERGY WEALTH PARTNERS | SYNERGY INVESTMENT MANAGEMENT | RFG INVESTMENT ADVISORY
CRD#: 124407 / SEC#: 801-62074
RIA
Registered Investment Advisory firm - (5/28/2003 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1440 Arrowhead Drive, Maumee, OH 43537
Mailing Address
Phone number
(419) 891-9999
Established
Firm type
Fiscal year end
# of Employees
67
SEC notice filing (28 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,141 |
| AUM (Assets Under Management) | $ 4,852,786,561 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 09/21/2023 | ||
| 02/27/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
