Robert J. 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.
Robert Jay Schwartz was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1990. Robert had worked at 14 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 18, 2016 - July 9, 2021
KESTRA ADVISORY SERVICES, LLC
September 11, 2015 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
September 11, 2015 - July 9, 2021
KESTRA INVESTMENT SERVICES, LLC
January 29, 2014 - August 17, 2015
MAGIS FINANCIAL PARTNERS
April 26, 2011 - August 18, 2015
INVESTORS CAPITAL CORP.
April 26, 2011 - August 18, 2015
INVESTORS CAPITAL CORP.
February 7, 2006 - May 11, 2011
CBIZ FINANCIAL SOLUTIONS, INC.
April 1, 2005 - May 11, 2011
CBIZ FINANCIAL SOLUTIONS, INC.
July 1, 2002 - April 1, 2005
KESTRA INVESTMENT SERVICES, LLC
February 6, 1996 - January 2, 2002
CETERA INVESTMENT SERVICES LLC
June 1, 1995 - February 14, 1996
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 1, 1995 - February 14, 1996
OSAIC FA, INC.
March 25, 1993 - June 1, 1995
INDEPENDENT FINANCIAL SECURITIES, INC.
April 28, 1992 - April 12, 1993
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
April 28, 1992 - April 12, 1993
SIGNATOR INVESTORS, INC.
January 21, 1991 - November 25, 1991
METROPOLITAN LIFE INSURANCE COMPANY
January 21, 1991 - November 25, 1991
MSI FINANCIAL SERVICES, INC.
January 15, 1990 - October 30, 1990
CITISTREET EQUITIES LLC
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.
