David William Schwartz
Professional Summary
David William Schwartz is a registered financial advisor currently at FMSBONDS, INC. located in North Miami Beach, Florida. David is registered as a RR (Registered Representative) and started their career in finance in 1995. David has worked at 1 firm and has passed the Series 63, Series 6TO, SIE, Series 7, Series 6 and Series 52 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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.
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Years of Experience
34 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
FIRST MIAMI SECURITIES, INC. | TAX-FREE BONDS.COM | TAX-FREE BONDS | FMSBONDS.COM | FMSBONDS, INC. | FMS,INC. | FMS, INC. | FMS BONDS, INC. | FMS BONDS
Contact Information
Main Address
4775 Technology Way, Boca Raton, FL 33431Mailing Address
4775 Technology Way, Boca Raton, FL 33431Phone Number
(800) 741-1103Established
Florida since 08/11/1978Firm Type
CorporationFiscal Year End
JuneFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FEINSILVER, PAUL | CHAIRMAN OF THE BOARD | 500389 |
| KLOTZ, JAMES ARNOLD | PRESIDENT | 500438 |
| GUERRISE, MATTHEW ANTHONY | CHIEF COMPLIANCE OFFICER | 2673770 |
| PARKER, ANNE MICHELLE | SROP AND CROP | 2226034 |
| SELIGSOHN, MICHAEL STEVEN | CHIEF OPERATIONS OFFICER, VICE PRESIDENT | 2189850 |
| SWINARSKI, THEODORE ANTHONY | SENIOR VICE PRESIDENT - TRADING SUPERVISOR | 1584451 |
Disclosures
Regulatory Event
12Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(3/5/2004)
(10/25/2002)
(8/27/2012)
(10/12/2001)
(12/9/2002)
(8/8/2002)
(5/15/2007)
(8/21/1998)
(1/23/1995)
(1/8/2003)
(7/24/1998)
(7/3/1997)
(1/28/2009)
(2/16/2024)
(1/26/2024)
(3/15/2002)
(10/1/2012)
(3/5/2004)
(6/24/2002)
(5/29/1997)
(3/17/2008)
(10/24/2023)
(9/16/2002)
(4/10/2003)
(7/18/2002)
(10/7/2015)
(2/24/1999)
(8/22/2006)
(4/30/1999)
(3/11/2003)
(9/17/2008)
(6/15/2005)
(4/1/2005)
(4/20/2009)
(1/16/1998)
(7/29/2026)
(7/29/2026)
(4/3/2013)
(1/28/2016)
(4/23/2003)
(8/18/2009)
(6/26/2002)
(5/22/2002)
(3/7/2002)
(4/4/2017)
(10/20/2004)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2023About the Series 6TO examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 1993About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view David William Schwartz's CRS (Customer Relationship Summary).
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