Kathryn E. Schwartz
Professional summary
Kathryn Elizabeth Schwartz, who also goes by Katy Schwartz, is a registered financial advisor currently at PAWLEYS INVESTMENT ADVISORS, LLC located in Delray Beach, Florida.
Kathryn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Kathryn has worked at 5 firms and has passed the Series 66, Series 63, Series 7, Series 31 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Kathryn Elizabeth Schwartz's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 3, 2010 - Present
PAWLEYS INVESTMENT ADVISORS, LLC
May 27, 2009 - November 2, 2010
EDWARD JONES
May 5, 2009 - November 2, 2010
EDWARD JONES
October 14, 1995 - September 14, 2004
CHARLES SCHWAB & CO., INC.
January 7, 1993 - October 9, 1995
MORGAN STANLEY DW INC.
May 14, 1992 - July 28, 1992
CHATFIELD DEAN & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(10/13/2022)
(11/3/2010)
Exams
Series 8
Date: 2/20/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PAWLEYS INVESTMENT ADVISORS, LLC
CRD#: 155199 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 450 |
| AUM (Assets Under Management) | $ 91,878,940 |
Red Flags
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