Elliot S. 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.
Elliot Steven Schwartz, who also goes by Elliot Schwartz, was a registered financial professional .
Elliot is a previously registered financial professional and started their career in finance in 1989. Elliot had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2012 - September 15, 2020
AVANTAX ADVISORY SERVICES
January 5, 2012 - January 12, 2012
AVANTAX ADVISORY SERVICES
December 8, 2010 - September 15, 2020
AVANTAX INVESTMENT SERVICES, INC.
November 6, 2009 - November 8, 2010
IC ADVISORY SERVICES, INC.
November 6, 2009 - November 8, 2010
THE INVESTMENT CENTER, INC.
July 24, 2002 - November 13, 2009
NEW ENGLAND SECURITIES
July 30, 1996 - November 13, 2009
NEW ENGLAND SECURITIES
December 20, 1994 - July 19, 1996
MML INVESTORS SERVICES, LLC
September 19, 1989 - December 20, 1994
CADARET, GRANT & CO., INC.
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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
