MS
Michael C. Schwartz
MZ CAPITAL
Bethesda, MD
Some features on this profile are disabled
CRD#: 2240459
MS
Professional summary
Michael Curt Schwartz, who also goes by Michael C Schwartz, Mike C Schwartz, is a registered financial advisor currently at MZ CAPITAL, LLC located in Bethesda, Maryland.
Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Michael has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael C Schwartz | Mike C Schwartz
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.
Home Instead Senior Care, owner of the business, - 90% Time Spent
MESSIAH COLLEGE/VOLUNTEER--REGIONAL LEADERSHIP COUNCIL MEMBER - 1% TIME SPENT
SECURITIES AMERICA ADVISORS, INC. - INVESTMENT ADVISORY - IAR - INVESTMENT RELATED - START DATE: 01/2004 - LOCATED AT 480 NEW HOLLAND AVE STE 7201, LANCASTER, PA 17602
PA STATE LEGION BASEBALL TOURNAMENT
POSITION: Treasurer NATURE: Tracking finances for the PA State Legion baseball tournament from Dec 15 2016 to July 31, 2017. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 12/15/2016
ADDRESS: 119 Meadow Valley Rd., Ephrata PA 17522
DESCRIPTION: Tracking finances for the PA State Legion baseball tournament from Dec 15 2016 to July 31, 2017.
MASTER'S ADVISORS
POSITION: Agent NATURE: Insurance Advice INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/12/2007
ADDRESS: 480 New Holland Ave, Ste 7201, Lancaster PA 17602, United States
DESCRIPTION: Helping clients decide if insurance contracts are appropriate for their situations.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Curt 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®
NoneExperience
Current
June 27, 2018 - Present
MZ CAPITAL, LLC
RIA
CRD#: 134726
Bethesda, MD
Past
October 5, 2012 - October 27, 2017
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
LANCASTER, PA
Past
September 5, 2007 - December 31, 2012
MASTER'S ADVISORS, INC.
RIA
CRD#: 114365
LANCASTER, PA
Past
March 22, 2006 - October 27, 2017
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LANCASTER, PA
Past
December 7, 1992 - July 13, 1997
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
MALVERN, PA
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".
MC
MZ CAPITAL, LLC
MZ CAPITAL MANAGEMENT, LLC | ZJX INVESTMENT MANAGEMENT, LLC | MZ CAPITAL, LLC
CRD#: 134726 / SEC#: 801-130471
RIA
Registered Investment Advisory firm - (6/17/2024 Approved)District of Columbia
Registered Investment Advisory firm - (6/22/2024 Terminated)Maryland
Registered Investment Advisory firm - (7/3/2024 Terminated)Texas
Registered Investment Advisory firm - (6/22/2024 Terminated)Virginia
Registered Investment Advisory firm - (6/25/2024 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.Highlighted states indicate IAR registrations
IAR
Maryland(6/27/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
MC
MZ CAPITAL, LLC
MZ CAPITAL MANAGEMENT, LLC | ZJX INVESTMENT MANAGEMENT, LLC | MZ CAPITAL, LLC
CRD#: 134726 / SEC#: 801-130471
RIA
Registered Investment Advisory firm - (6/17/2024 Approved)District of Columbia
Registered Investment Advisory firm - (6/22/2024 Terminated)Maryland
Registered Investment Advisory firm - (7/3/2024 Terminated)Texas
Registered Investment Advisory firm - (6/22/2024 Terminated)Virginia
Registered Investment Advisory firm - (6/25/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Bethesda, MD
Mailing Address
Phone number
(301) 452-4220
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 448 |
| AUM (Assets Under Management) | $ 141,195,552 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
