Robert William Schwarz
Professional Summary
Robert William Schwarz was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 1970 - 2021. Robert had worked at 14 firms and has passed the Series 63, Series 7TO, SIE, PC, Series 5, Series 1, Series 30 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
56 years in the financial services industry
Current & Past Employments
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Current Firm
BLACKRIDGE ASSET MANAGEMENT, LLC | TOP ADVISORS GROUP | PEAK BROKERAGE SERVICES, LLC
Contact Information
Main Address
1070 East Indiantown Road Suite 208 - 210, Jupiter, FL 33477-9999Mailing Address
1070 East Indiantown Road Suite 208 - 210, Jupiter, FL 33477-9999Phone Number
(561) 641-5050Established
Georgia since 02/16/2011Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEAK REPS, LLC | OWNER | — |
| COKER, KAREN | CHIEF RISK OFFICER | 2731928 |
| MUELLER, CHRISTOPHER BRIAN | CHIEF OPERATIONS OFFICER | 2098597 |
| PHILLIPS, DAVID LEVERT | CHIEF INFORMATION SECURITY OFFICER | 2054858 |
| REYNOLDS, MATTHEW MARK | PRESIDENT/FINOP | 4077413 |
| RUDNICK, REGINA MARY | PRESIDENT/HEAD OF ADVISOR SERVICES | 2373530 |
| TAYLOR, CHRISTIAN GABRIEL | CHIEF COMPLIANCE OFFICER | 5462381 |
Disclosures
Regulatory Event
1Similar Advisors
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
PC — AMEX Put and Call Exam
Passed Nov 1981Series 5 — Interest Rate Options Examination
Passed Oct 1981Series 1 — Registered Representative Examination
Passed Jul 1970Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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