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JS

Joseph W. Schwarz

SCHWARZ DYGOS WHEELER INVESTMENT ADVISORS LLC
MINNEAPOLIS, MN 55402
Some features on this profile are disabled
CRD#: 2633754
JS

Professional summary

Joseph William Schwarz II, who also goes by Joseph William Schwarz, is a registered financial advisor currently at SCHWARZ DYGOS WHEELER INVESTMENT ADVISORS LLC located in Minneapolis, Minnesota.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Joseph has worked at 5 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Joseph William Schwarz

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph William Schwarz II's CRS (Customer Relationship Summary).
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®
None

Experience

Current

July 14, 2008 - Present

SCHWARZ DYGOS WHEELER INVESTMENT ADVISORS LLC

Office #1: 50 South Sixth Street Suite 1405, Minneapolis, MN 55402
RIA
CRD#: 147384
MINNEAPOLIS, MN
Past

April 11, 2001 - July 3, 2006

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

April 11, 2001 - July 11, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

January 28, 2000 - April 5, 2001

WELLS FARGO SECURITIES INC.

BD
CRD#: 17438
SAN FRANCISCO, CA
Past

January 6, 1998 - March 16, 1998

AMERICAN ENTERPRISE INVESTMENT SERVICES INC.

BD
CRD#: 26506
MINNEAPOLIS, MN
Past

August 9, 1995 - March 16, 1998

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

August 9, 1995 - March 16, 1998

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SD
SCHWARZ DYGOS WHEELER INVESTMENT ADVISORS LLC
INVESTMENT ADVISER SERVICES, LLC | SDW WEALTH ADVISORS | SCHWARZ DYGOS WHEELER INVESTMENT ADVISORS LLC

CRD#: 147384 / SEC#: 801-69248

RIA
Registered Investment Advisory firm - (6/12/2008 Approved)

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.

Highlighted states indicate IAR registrations

IAR
Minnesota
(1/7/2014)
IAR
Texas
(7/14/2008)

Exams

State Security Law Exam
RR
Series 63
Date: 7/14/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/8/1995
General Securities Representative Examination

Current Firm

SD
SCHWARZ DYGOS WHEELER INVESTMENT ADVISORS LLC
INVESTMENT ADVISER SERVICES, LLC | SDW WEALTH ADVISORS | SCHWARZ DYGOS WHEELER INVESTMENT ADVISORS LLC

CRD#: 147384 / SEC#: 801-69248

RIA
Registered Investment Advisory firm - (6/12/2008 Approved)
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Contact information

Main Address
50 South 6th Street, Suite 1405, Minneapolis, MN 55402
Mailing Address
Phone number
(612) 355-4360
Established
Firm type
Fiscal year end
# of Employees
7

SEC notice filing (9 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SCHWARZ DYGOS WHEELER INVESTMENT ADVISORS LLC BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts1,978
AUM (Assets Under Management)$ 644,418,641

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.

Company Information

SCHWARZ DYGOS WHEELER INVESTMENT ADVISORS LLC

CRD#: 147384Minneapolis, MN 55402

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