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BS

Bradley Harris Schwartz

CLSA AMERICAS

NEW YORK, NY

·CRD# 2372237·33 years experience

Professional Summary

Bradley Harris Schwartz, who also goes by Brad Harris Schwartz, Brad H Schwartz, Bradley Schwartz, is a registered financial advisor currently at CLSA AMERICAS, LLC located in New York, New York. Bradley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Bradley has worked at 5 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7, Series 3, Series 24,...

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Brad Harris Schwartz, Brad H Schwartz, Bradley Schwartz

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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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 are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

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

33 years in the financial services industry

Current & Past Employments

CLSA AMERICAS, LLC·CRD# 165533

RIA

BD

1. 1155 Avenue Of The Americas 17th Floor, New York, NY, 100362. 1155 Avenue Of The Americas 17th Floor, New York, NY 100363. 235 Montgomery Street, Suite 1026, San Francisco, CA 94104

November 8, 2022 - Present

CLSA AMERICAS, LLC·CRD# 165533

RIA

BD

1. 1155 Avenue Of The Americas 17th Floor, New York, NY, 100362. 1155 Avenue Of The Americas 17th Floor, New York, NY, 100363. 235 Montgomery Street, Suite 1026, San Francisco, CA 94104

August 30, 2022 - Present

CITIC SECURITIES INTERNATIONAL USA, LLC·CRD# 158266

BD

1. 1155 Avenue Of The Americas 17th Floor, New York, NY 100362. 1155 Avenue Of The Americas 17th Floor, New York, NY 10036

October 12, 2022 - Present

HSBC SECURITIES (USA) INC.·CRD# 19585

BD

New York, NY

September 7, 2017 - January 29, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691

BD

New York, NY

November 16, 2007 - November 19, 2008

PYXIS SECURITIES, LLC·CRD# 126130

BD

Fair Haven, NJ

February 21, 2007 - July 26, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691

RIA

New York, NY

August 4, 2004 - March 2, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691

BD

New York, NY

August 18, 1993 - March 2, 2005

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Current Firm

CA

CLSA AMERICAS, LLC

CLSA AMERICAS, LLC

CRD#: 165533 / SEC#: 8-69166

California

Registered Investment Advisory firm - SEC (1/1/2019 Approved)

Connecticut

Registered Investment Advisory firm - SEC (1/14/2019 Approved)

Texas

Registered Investment Advisory firm - SEC (1/28/2019 Approved)

BD

Broker-Dealer Firm Regulated by FINRA (New York district office)

Contact Information

Main Address

1155 Avenue Of The Americas 17th Floor 17th Floor, New York, NY, 10036

Mailing Address

1155 Avenue Of The Americas 17th Floor, New York, NY, 10036

Phone Number

(212) 549-5097

Established

Delaware since 08/15/2012

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

# of Employees

61

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
CLSA AMERICAS HOLDINGS, INC.	MEMBER/SHAREHOLDER	—
BILLET, CHRISTIAN LESLIE	CCO	2441597
HOLUB, WILLIAM CHARLES	BOARD MEMBER, CFO-FINOP	2680290
PARK, EDWARD	BOARD MEMBER	7550990
SCHWARTZ, BRADLEY HARRIS	BOARD MEMBER, CEO	2372237
ZHANG, HUIZI	BOARD MEMBER	8008880

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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.

There are two OBAs

(1) Maddyloo Hong Kong Limited, non investment related, 180 Hennessy Road, 5F, Wan Chai, Hong Kong, fashion accessory business, Director, no relationship with other business, Feb 2014, 4 hours/month, 0 hours/month, administrative duties

(2)Journe Society, non investment related, 17 Rue de l'Arquebuse, Geneva 1204, watch club, Director/President, no other relationship with other business, April 2016, 4 hours/month, 0 hours/month, administrative duties. Is also CEO of CSI-USA. (CSI-USA is reflected in employment history.) Is also on the Board and is President of CLSA Americas Holdings.

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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.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alabama
(11/8/2022)

RR

Alaska
(11/8/2022)

RR

Arizona
(11/8/2022)

RR

Arkansas
(11/8/2022)

RR

California
(11/8/2022)

IAR

California
(3/23/2023)

RR

Colorado
(9/28/2022)

RR

Connecticut
(9/28/2022)

IAR

Connecticut
(11/8/2022)

RR

Delaware
(11/8/2022)

RR

District of Columbia
(9/28/2022)

RR

Florida
(9/28/2022)

RR

Georgia
(11/8/2022)

RR

Hawaii
(11/8/2022)

RR

Idaho
(9/28/2022)

RR

Illinois
(11/8/2022)

RR

Indiana
(11/8/2022)

RR

Iowa
(11/8/2022)

RR

Kansas
(11/8/2022)

RR

Kentucky
(11/8/2022)

RR

Louisiana
(9/28/2022)

RR

Maine
(11/8/2022)

RR

Maryland
(9/28/2022)

RR

Massachusetts
(11/8/2022)

RR

Michigan
(11/8/2022)

RR

Minnesota
(11/8/2022)

RR

Mississippi
(11/8/2022)

RR

Missouri
(11/8/2022)

RR

Montana
(11/8/2022)

RR

Nebraska
(11/8/2022)

RR

Nevada
(11/8/2022)

RR

New Hampshire
(11/8/2022)

RR

New Jersey
(11/8/2022)

RR

New Mexico
(11/8/2022)

RR

New York
(11/8/2022)

RR

North Carolina
(11/8/2022)

RR

North Dakota
(11/8/2022)

RR

Ohio
(11/8/2022)

RR

Oklahoma
(11/8/2022)

RR

Oregon
(11/8/2022)

RR

Pennsylvania
(11/8/2022)

RR

Puerto Rico
(9/28/2022)

RR

Rhode Island
(11/8/2022)

RR

South Carolina
(11/8/2022)

RR

South Dakota
(11/8/2022)

RR

Tennessee
(11/8/2022)

RR

Texas
(11/8/2022)

IAR

Texas
(12/21/2022)

RR

Utah
(11/8/2022)

RR

Vermont
(11/8/2022)

RR

Virgin Islands
(11/8/2022)

RR

Virginia
(11/8/2022)

RR

Washington
(11/8/2022)

RR

West Virginia
(11/8/2022)

RR

Wisconsin
(11/8/2022)

RR

Wyoming
(11/8/2022)

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.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Feb 2023About the Series 65 exam

Series 66 — Uniform Combined State Law Examination

Passed Nov 2022About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 2017About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Sep 2017About the Series 7 exam

Series 3 — National Commodity Futures Examination

Passed Jul 2000About the Series 3 exam

Series 24 — General Securities Principal Examination

Passed Sep 2022About the Series 24 exam

Series 10 — General Securities Sales Supervisor - General Module Examination

Passed Aug 2002About the Series 10 exam

Series 9 — General Securities Sales Supervisor - Options Module Examination

Passed Sep 2000About the Series 9 exam

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

MEMX LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

SRO Registrations

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CRS (Client Relationship Summary) - RIA

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

CRS (Client Relationship Summary) - BD

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

CRS (Customer Relationship Summary)

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BS

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