JS
Joshua F. Schwartz
RETIREMENT PLAN ADVISORS
Chicago, IL 60602-3205
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CRD#: 1730472
JS
Professional summary
Joshua Fischel Schwartz, AIF®, who also goes by Joshua F Sckwartz, is a registered financial advisor currently at RETIREMENT PLAN ADVISORS, LLC located in Chicago, Illinois and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Chicago, Illinois.
Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Joshua has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joshua F Sckwartz
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Joshua Fischel 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®
Experience
Current
December 17, 2002 - Present
RETIREMENT PLAN ADVISORS, LLC
Office #1: 29 E. Madison St. Suite 500, Chicago, IL 60602-3205RIA
CRD#: 122758
Chicago, IL
Current
March 2, 2000 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 29 E Madison St. Ste 500, Chicago, IL 60602BD
CRD#: 39543
Chicago, IL
Current
August 17, 2001 - Present
RETIREMENT PLAN ADVISORS SERVICES, LLC
Office #1: 29 E. Madison St Suite 500, Chicago, IL 60602BD
CRD#: 111392
Chicago, IL
Past
March 27, 2000 - December 31, 2002
CAMBRIDGE INVESTMENT RESEARCH, INC.
RIA
CRD#: 39543
CHICAGO, IL
Past
April 6, 1989 - February 25, 2000
NATIONWIDE INVESTMENT SERVICES CORPORATION
BD
CRD#: 7110
COLUMBUS, OH
Past
September 9, 1987 - May 2, 1989
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
EDISON, NJ
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".
RP
RETIREMENT PLAN ADVISORS, LLC
RETIREMENT PLAN ADVISORS, LLC
CRD#: 122758 / SEC#: 801-63261
RIA
Registered Investment Advisory firm - (7/14/2004 Approved)Arizona
Registered Investment Advisory firm - (8/2/2004 Terminated)Colorado
Registered Investment Advisory firm - (10/13/2006 Terminated)Iowa
Registered Investment Advisory firm - (8/2/2004 Terminated)Louisiana
Registered Investment Advisory firm - (2/11/2005 Terminated)Missouri
Registered Investment Advisory firm - (8/2/2004 Terminated)Nevada
Registered Investment Advisory firm - (8/2/2004 Terminated)Texas
Registered Investment Advisory firm - (7/28/2004 Terminated)Wisconsin
Registered Investment Advisory firm - (2/11/2003 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arkansas(1/14/2011)
RR
Connecticut(4/10/2006)
RR
District of Columbia(2/2/2004)
RR
Illinois(3/2/2000)
IAR
Illinois(12/17/2002)
RR
Indiana(1/2/2009)
RR
Iowa(1/14/2011)
RR
Kansas(4/4/2002)
RR
Louisiana(1/14/2011)
RR
Michigan(2/6/2002)
RR
Missouri(8/17/2001)
RR
Pennsylvania(1/14/2011)
RR
Texas(2/26/2002)
RR
Virginia(1/25/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RP
RETIREMENT PLAN ADVISORS, LLC
RETIREMENT PLAN ADVISORS, LLC
CRD#: 122758 / SEC#: 801-63261
RIA
Registered Investment Advisory firm - (7/14/2004 Approved)Arizona
Registered Investment Advisory firm - (8/2/2004 Terminated)Colorado
Registered Investment Advisory firm - (10/13/2006 Terminated)Iowa
Registered Investment Advisory firm - (8/2/2004 Terminated)Louisiana
Registered Investment Advisory firm - (2/11/2005 Terminated)Missouri
Registered Investment Advisory firm - (8/2/2004 Terminated)Nevada
Registered Investment Advisory firm - (8/2/2004 Terminated)Texas
Registered Investment Advisory firm - (7/28/2004 Terminated)Wisconsin
Registered Investment Advisory firm - (2/11/2003 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
29 E. Madison St. Suite 500, Chicago, IL 60602-3205
Mailing Address
Phone number
(312) 701-1100
Established
Firm type
Fiscal year end
# of Employees
44
SEC notice filing (35 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,148 |
| AUM (Assets Under Management) | $ 1,882,191,054 |
Red Flags
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Company Information
RETIREMENT PLAN ADVISORS, LLC
CRD#: 122758Chicago, IL 60602-3205TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
