Michael D. Schwartz

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CRD#: 4554902

Professional summary

Michael David Schwartz was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Michael David Schwartz was a registered financial advisor .

Michael is a previously registered financial advisor and started their career in finance in 2002. Michael had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 15, 2012 - May 26, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHICAGO, IL

Past

November 15, 2012 - May 26, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CHICAGO, IL

Past

October 29, 2010 - June 11, 2012

BARCLAYS CAPITAL INC.

RIA

CRD#: 19714

CHICAGO, IL

Past

October 29, 2010 - June 11, 2012

BARCLAYS CAPITAL INC.

CRD#: 19714

CHICAGO, IL

Past

January 23, 2009 - November 9, 2010

J.P. MORGAN SECURITIES LLC

CRD#: 79

CHICAGO, IL

Past

September 17, 2004 - October 14, 2004

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

August 26, 2003 - October 12, 2004

BANC ONE SECURITIES CORPORATION

RIA

CRD#: 16999

CHICAGO, IL

Past

August 26, 2003 - October 12, 2004

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

July 15, 2002 - August 19, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

BERRIEN SPRINGS, MI

Past

July 2, 2002 - August 19, 2003

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

July 2, 2002 - August 19, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

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".

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.

CRD#: 7691 / SEC#: 801-14235, 8-7221

RIA

Registered Investment Advisory firm - SEC (12/8/1978 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 12/24/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 5/26/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/22/2009

General Securities Representative Examination

Current Firm

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.

CRD#: 7691 / SEC#: 801-14235, 8-7221

RIA

Registered Investment Advisory firm - SEC (12/8/1978 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

One Bryant Park, New York, NY 10036

Mailing Address

150 N College St Nc1-028-29-04, Charlotte, NC 28255

Phone number

(800) 637-7455

Established

Delaware since 11/10/1958

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

33,689

SEC notice filing (49 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

MERRILL LYNCH FIDUCIARY ADVISORY SERVICES (12/3/2025)

MERRILL GUIDED INVESTING BROCHURE (11/14/2025)

MERRILL PERSONAL RETIREMENT STRATEGY (11/14/2025)

MERRILL GUIDED INVESTING WITH ADVISOR BROCHURE (11/14/2025)

MERRILL SMALL BUSINESS 401(K) ADVISORY SERVICE (11/10/2025)

MAA MLPFS 2A FOR SELECT PORTFOLIO SOLUTIONS (3/21/2025)

MERRILL EDGE ADVISORY ACCOUNT BROCHURE (3/21/2025)

ADVICE ACCESS BROCHURE (3/21/2025)

MERRILL LYNCH INSTITUTIONAL INVESTMENT CONSULTING (3/21/2025)

MERRILL LYNCH INVESTMENT ADVISORY PROGRAM BROCHURE (3/21/2025)

MERRILL LYNCH MANAGED ACCOUNT SERVICE BROCHURE (3/21/2025)

MERRILL LYNCH STRATEGIC PORTFOLIO ADVISOR SERVICE BROCHURE (3/21/2025)

Direct owners and executive officers

Name	Position	CRD#
BAC NORTH AMERICA HOLDING COMPANY	SHAREHOLDER
AXELROD, SUSAN F	CHIEF COMPLIANCE OFFICER	6949587
FAHMY, NANCY MONIR	DIRECTOR	2689751
GELLENE, MATTHEW THOMAS	DIRECTOR	1977160
HANS, LINDSAY DENARDO	STATE DESIGNATED PRINCIPAL & DIRECTOR	4429443
HEATON, DAVID CARLETON JR	CHIEF LEGAL OFFICER	5972432
MOONEY, SARA RATHBONE	CHIEF FINANCIAL OFFICER	7616382
SABBIA, LORNA ROSE	DIRECTOR	1873495
SANTANNA, VINCENT C.	CHIEF OPERATIONS OFFICER & FINOP	5290525
SCHIMPF, ERIC A	DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL	2494318

Regulatory assets under management

Total Number of Accounts	3,085,811
AUM (Assets Under Management)	$ 1,511,090,925,436

Disclosures

Regulatory Event	610
Civil Event	4
Arbitration	878

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/25/2024	Cover Page	Report
08/24/2023	Cover Page	Report
01/27/2023	Cover Page	Report

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Michael D. Schwartz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BARCLAYS CAPITAL INC.

BARCLAYS CAPITAL INC.

J.P. MORGAN SECURITIES LLC

CITICORP INVESTMENT SERVICES

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 12/24/2008

SIE

Date: 5/26/2015

Series 7

Date: 1/22/2009

Current Firm

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Contact information

SEC notice filing (49 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

TRUST BUT VERIFY

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