Adam D. Schwartz
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Adam D. Schwartz, who also goes by Adam Darrin Schwartz, was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 1998. Adam had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2012 - October 4, 2021
J.P. MORGAN SECURITIES LLC
November 7, 2012 - October 4, 2021
J.P. MORGAN SECURITIES LLC
October 16, 2012 - October 23, 2012
BB&T INVESTMENT SERVICES, INC.
October 15, 2012 - October 23, 2012
BB&T INVESTMENT SERVICES, INC.
January 27, 2010 - October 12, 2012
LPL FINANCIAL LLC
January 15, 2010 - October 12, 2012
LPL FINANCIAL LLC
January 24, 2008 - January 20, 2010
CETERA INVESTMENT SERVICES LLC
January 16, 2008 - January 20, 2010
CETERA INVESTMENT SERVICES LLC
October 17, 2006 - January 10, 2008
WAMU INVESTMENTS, INC.
October 13, 2006 - January 10, 2008
WAMU INVESTMENTS, INC.
August 23, 2004 - January 25, 2006
BB&T INVESTMENT SERVICES, INC.
August 19, 2004 - January 25, 2006
BB&T INVESTMENT SERVICES, INC.
July 1, 2002 - August 5, 2004
WELLS FARGO CLEARING SERVICES, LLC
June 15, 2002 - August 5, 2004
WELLS FARGO CLEARING SERVICES, LLC
February 28, 2001 - June 15, 2002
WACHOVIA SECURITIES, INC.
November 3, 1998 - February 28, 2000
UBS FINANCIAL SERVICES INC.
August 4, 1998 - November 4, 1998
ITRADEDIRECT.COM CORP
June 8, 1998 - August 3, 1998
THE INVESTMENT CENTER, INC.
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
