Julz M. Schwingler
Professional summary
Julz M Schwingler, CFP®, CIMA®, CPWA®, who also goes by Julie Marjorie Mattson, Julz M Mattson, Julz Mattson, is a registered financial advisor currently at CITY NATIONAL ROCHDALE located in Orono, Minnesota and CNR SECURITIES, LLC located in New York, New York.
Julz is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Julz has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Julz M Schwingler's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2020-12-11
Expire date: 2024-04-30
Experience
September 16, 2015 - Present
CITY NATIONAL ROCHDALE
September 16, 2015 - Present
CNR SECURITIES, LLC
Office #1: 400 Park Avenue 6th Floor, New York, NY 10022November 15, 2012 - September 24, 2015
NATIONWIDE INVESTMENT SERVICES CORPORATION
October 23, 2006 - June 26, 2012
BLACKROCK INVESTMENTS, LLC
May 30, 2006 - June 26, 2012
BLACKROCK FINANCIAL MANAGEMENT, INC
August 26, 2005 - May 31, 2006
BLACKROCK CAPITAL MANAGEMENT, INC.
March 19, 2004 - October 23, 2006
STATE STREET RESEARCH INVESTMENT SERVICES, INC.
February 7, 2000 - March 11, 2004
BNY MELLON SECURITIES CORPORATION
December 16, 1998 - December 20, 1999
BISYS SHELF B/D (1), INC.
January 25, 1994 - November 17, 1998
MML INVESTORS SERVICES, LLC
Primary Firm SEC Registration
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/6/2016)
(8/29/2020)
(4/9/2020)
(4/20/2021)
(8/16/2022)
(9/16/2015)
(9/16/2015)
(11/6/2017)
(11/6/2017)
(9/16/2015)
(9/16/2015)
(10/23/2017)
(11/6/2017)
(9/16/2015)
(9/17/2015)
(6/21/2016)
(11/6/2017)
(8/16/2022)
(6/12/2019)
(4/5/2021)
(11/6/2017)
(9/16/2015)
(9/21/2015)
(11/7/2017)
(11/6/2017)
(9/16/2015)
(9/17/2015)
(8/29/2020)
(11/6/2017)
(2/13/2025)
(8/29/2020)
(3/6/2018)
(8/29/2020)
(8/16/2022)
(9/16/2015)
(9/16/2015)
Exams
FINRA
Current Firm
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,300 |
| AUM (Assets Under Management) | $ 68,177,828,012 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/27/2023 |
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.
