Richard Schwarz
STRATEGIC ADVISERS LLC | Financial Consultant
FORT COLLINS, CO 80525-2654
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CRD#: 3104223
Professional summary
Richard Schwarz is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Fort Collins, Colorado and FIDELITY BROKERAGE SERVICES LLC located in Fort Collins, Colorado.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Richard has worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Biography
After serving as a Naval Officer, I transitioned to being a Financial Consultant where I have enjoyed helping my clients with their financial decisions for over 22 years. I take a great deal of pride in doing my best to provide my clients straight answers and prudent guidance towards helping them achieve the peace of mind they find so important.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
OBA-113480|OrgNmn:Assistant high school lacrosse coach|Org Addr:Fort Colli,Colorado,US|OBA Nature:Coach|Invst Rel:N|Title:assistant high school lacrosse co|Duties:assistant high school lacrosse coach|StrtDt:08-26-24|TotHrs/mon:40|TrdHrs/mon:0|
CRS (Client Relationship Summary) - RIA
Click below to view Richard Schwarz'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®
NoneEducation
U.S. Naval Academy
BS - Physical Science
1988
Experience
Current
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
Office #1: 3100 S. College Ave Suite 110, Fort Collins, CO 80525-2654RIA
CRD#: 104555
FORT COLLINS, CO
Current
May 11, 2010 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 3100 S. College Ave. Suite 110, Fort Collins, CO 80525BD
CRD#: 7784
FORT COLLINS, CO
Past
July 13, 2018 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
FORT COLLINS, CO
Past
June 29, 2017 - July 13, 2018
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
BROOMFIELD, CO
Past
August 29, 2007 - April 13, 2010
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
EAST NORTHPORT, NY
Past
August 28, 2007 - April 13, 2010
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
EAST NORTHPORT, NY
Past
May 31, 2006 - August 16, 2007
WAMU INVESTMENTS, INC.
RIA
CRD#: 599
SAN DIEGO, CA
Past
May 20, 1999 - August 16, 2007
WAMU INVESTMENTS, INC.
BD
CRD#: 599
SAN DIEGO, CA
Past
September 29, 1998 - February 22, 1999
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
September 29, 1998 - February 22, 1999
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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 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.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
Arizona(1/5/2018)
RR
California(5/11/2010)
RR
Colorado(3/2/2017)
IAR
Colorado(3/31/2025)
RR
Delaware(9/27/2019)
RR
Florida(5/11/2010)
RR
Georgia(7/8/2022)
RR
Idaho(10/8/2021)
RR
Illinois(3/4/2022)
RR
Indiana(5/4/2021)
RR
Iowa(12/20/2019)
RR
Kansas(1/4/2019)
RR
Louisiana(9/27/2019)
RR
Maine(9/27/2023)
RR
Maryland(1/2/2015)
RR
Massachusetts(7/8/2022)
RR
Michigan(6/29/2020)
RR
Minnesota(9/9/2022)
RR
Mississippi(8/19/2022)
RR
Missouri(1/4/2019)
RR
Montana(1/3/2020)
RR
Nebraska(3/22/2023)
RR
Nevada(9/20/2021)
RR
New Jersey(9/9/2022)
RR
New Mexico(1/3/2020)
RR
New York(5/11/2010)
RR
North Carolina(2/12/2021)
RR
Ohio(9/12/2022)
RR
Oregon(9/29/2023)
RR
Pennsylvania(12/6/2022)
RR
South Carolina(1/3/2020)
RR
South Dakota(7/20/2022)
RR
Texas(10/16/2017)
IAR
Texas(3/31/2025)
RR
Utah(9/27/2019)
RR
Virginia(1/2/2015)
RR
Washington(7/8/2022)
RR
Wisconsin(2/13/2023)
RR
Wyoming(3/2/2017)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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
STRATEGIC ADVISERS LLC
Financial ConsultantCRD#: 104555Fort Collins, CO 80525-2654TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
