Eric R. Schwartz
Professional summary
Eric Robert Schwartz is a registered financial advisor currently at TRANSCEND CAPITAL ADVISORS, LLC located in Naples, Florida.
Eric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Eric has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Eric Robert Schwartz's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 15, 2019 - Present
TRANSCEND CAPITAL ADVISORS, LLC
Office #1: 821 5th Avenue South Suite 102, Naples, FL 34102January 9, 2019 - March 27, 2020
PURSHE KAPLAN STERLING INVESTMENTS
February 13, 2009 - January 21, 2019
UBS FINANCIAL SERVICES INC.
February 13, 2009 - January 21, 2019
UBS FINANCIAL SERVICES INC.
May 1, 2006 - March 13, 2009
CITIGROUP GLOBAL MARKETS INC.
March 7, 1994 - March 13, 2009
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
TRANSCEND CAPITAL ADVISORS, LLC
CRD#: 299723 / SEC#: 801-114435
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(11/15/2022)
(1/15/2019)
Exams
Current Firm
TRANSCEND CAPITAL ADVISORS, LLC
CRD#: 299723 / SEC#: 801-114435
Contact information
SEC notice filing (30 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,003 |
| AUM (Assets Under Management) | $ 3,099,629,575 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/17/2025 | ||
| 01/26/2024 | ||
| 11/28/2022 |
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.
