BS
Bradley H. Schwartz
CLSA AMERICAS
New York, NY 10036
Some features on this profile are disabled
CRD#: 2372237
BS
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, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brad Harris Schwartz | Brad H Schwartz | Bradley 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.
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.
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).
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
November 8, 2022 - Present
CLSA AMERICAS, LLC
Office #1: 1155 Avenue Of The Americas 17th Floor, New York, NY, 10036Office #2: 1155 Avenue Of The Americas 17th Floor, New York, NY 10036Office #3: 345 California Street, Suite 600, San Francisco, CA 94104RIA
BD
CRD#: 165533
New York, NY
Current
August 30, 2022 - Present
CLSA AMERICAS, LLC
Office #1: 1155 Avenue Of The Americas 17th Floor, New York, NY, 10036Office #2: 1155 Avenue Of The Americas 17th Floor, New York, NY, 10036Office #3: 345 California Street, Suite 600, San Francisco, CA 94104RIA
BD
CRD#: 165533
New York, NY
Current
October 12, 2022 - Present
CITIC SECURITIES INTERNATIONAL USA, LLC
Office #1: 1155 Avenue Of The Americas 17th Floor, New York, NY 10036Office #2: 1155 Avenue Of The Americas 17th Floor, New York, NY 10036BD
CRD#: 158266
New York, NY
Past
September 7, 2017 - January 29, 2020
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
NEW YORK, NY
Past
November 16, 2007 - November 19, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
February 21, 2007 - July 26, 2007
PYXIS SECURITIES, LLC
BD
CRD#: 126130
FAIR HAVEN, NJ
Past
August 4, 2004 - March 2, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW YORK, NY
Past
August 18, 1993 - March 2, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
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)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
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)
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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)
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.
