James Schwartz

SCHWARTZ INVESTMENT MANAGEMENT CO.

DICKINSON, ND 58601

Some features on this profile are disabled

CRD#: 2193196

Professional summary

James Schwartz, CFP® is a registered financial advisor currently at SCHWARTZ INVESTMENT MANAGEMENT CO. located in Dickinson, North Dakota.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. James has worked at 1 firm and has passed the Series 65 and Series 63 exams.

Question & Answer

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James 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^®

Certified Financial Planner

Start date: 1992

Experience

Current

January 14, 1992 - Present

SCHWARTZ INVESTMENT MANAGEMENT CO.

Office #1: 232 1 Ave E, Dickinson, ND 58601

RIA

CRD#: 115427

DICKINSON, ND

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

North Dakota
(1/14/1992)

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 65

Date: 11/2/1991

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/2/1991

Uniform Securities Agent State Law Examination

Current Firm

SCHWARTZ INVESTMENT MANAGEMENT CO.

SCHWARTZ CPA, P.L.L.C. | SCHWARTZ INVESTMENT MANAGEMENT CO.

CRD#: 115427 / SEC#:

North Dakota

Registered Investment Advisory firm - (1/14/1992 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

232 1st Avenue, East, Dickinson, ND 58601

Mailing Address

Phone number

(701) 483-3800

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	65
AUM (Assets Under Management)	$ 15,678,931

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.

Similar Advisors

Christopher Van Slyke

WORTHPOINTE

IAR

Ramona, CA

Robert Shannon

BRAZOS WEALTH ADVISORS LLC

IAR

FORT WORTH, TX

Shayne Beecher

RBC CAPITAL MARKETS, LLC

IAR

Lancaster, PA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James Schwartz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

SCHWARTZ INVESTMENT MANAGEMENT CO.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/2/1991

Series 63

Date: 11/2/1991

Current Firm

SCHWARTZ INVESTMENT MANAGEMENT CO.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SCHWARTZ INVESTMENT MANAGEMENT CO.

TRUST BUT VERIFY

Similar Advisors