James D. Schwartz

STRATEGIC WEALTH ADVISORS

Scottsdale, AZ

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CRD#: 3088509

Professional summary

James Dean Schwartz, CFP®, who also goes by James D Schwartz, Jim Schwartz, is a registered financial advisor currently at STRATEGIC WEALTH ADVISORS, LLC located in Scottsdale, Arizona.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. James has worked at 3 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James D Schwartz | Jim 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Dean Schwartz'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®

CFP^®

Certified Financial Planner

Start date: 2002

Experience

Current

May 7, 2007 - Present

STRATEGIC WEALTH ADVISORS, LLC

Office #2: 9375 East Shea Blvd Suite 100, Scottsdale, AZ 85260

RIA

CRD#: 114167

Scottsdale, AZ

Past

July 18, 2001 - April 16, 2007

DESERT VALLEY FINANCIAL PLANNING, LLC

RIA

CRD#: 114718

CHANDLER, AZ

Past

September 25, 1998 - June 26, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

STRATEGIC WEALTH ADVISORS, LLC

CRD#: 114167 / SEC#: 801-62947

RIA

Registered Investment Advisory firm - (3/26/2004 Approved)

Arizona

Registered Investment Advisory firm - (4/15/2004 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Arizona
(5/7/2007)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/3/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 8/4/1998

General Securities Representative Examination

Current Firm

STRATEGIC WEALTH ADVISORS, LLC

CRD#: 114167 / SEC#: 801-62947

RIA

Registered Investment Advisory firm - (3/26/2004 Approved)

Arizona

Registered Investment Advisory firm - (4/15/2004 Terminated)

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Contact information

Main Address

Scottsdale, AZ

Mailing Address

9375 E. Shea Blvd Suite 100, Scottsdale, AZ 85260

Phone number

(480) 998-1798

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 ADV PART 2 (2/21/2025)

Regulatory assets under management

Total Number of Accounts	419
AUM (Assets Under Management)	$ 291,507,661

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.

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James D. Schwartz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Dean Schwartz's CRS (Customer Relationship Summary).

Certified licenses

Experience

STRATEGIC WEALTH ADVISORS, LLC

DESERT VALLEY FINANCIAL PLANNING, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

STRATEGIC WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/3/2001

Series 7

Date: 8/4/1998

Current Firm

STRATEGIC WEALTH ADVISORS, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STRATEGIC WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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