Jason H. Schwartz

UBS ASSET MANAGEMENT (US)

New York, NY 10010

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CRD#: 4867731

Professional summary

Jason Howard Schwartz, who also goes by Jason Howard Schwartz, Jason Schwartz, is a registered financial professional currently at UBS ASSET MANAGEMENT (US) INC. located in New York, New York and CITY NATIONAL SECURITIES, INC. located in New York, New York.

Jason is registered as a RR (Registered Representative) and started their career in finance in 2005. Jason has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.

Aliases

Jason Howard Schwartz | Jason 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) - BD

Click below to view Jason Howard 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®

None

Experience

Current

May 1, 2024 - Present

UBS ASSET MANAGEMENT (US) INC.

Office #1: 11 Madison Avenue, New York, NY 10010

CRD#: 583

New York, NY

Current

March 10, 2026 - Present

CITY NATIONAL SECURITIES, INC.

Office #1: 400 Park Avenue 8th Floor, New York, NY, 10022

RIA

CRD#: 103705

NEW YORK, NY

Past

January 13, 2022 - May 1, 2024

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

August 6, 2018 - October 21, 2021

VALLEY FINANCIAL MANAGEMENT, INC.

CRD#: 105387

NEW YORK, NY

Past

July 24, 2014 - April 21, 2017

CLARION PARTNERS SECURITIES, LLC

CRD#: 166384

NEW YORK, NY

Past

October 17, 2013 - July 9, 2014

MC ASSET MANAGEMENT AMERICAS, LTD.

CRD#: 23330

STAMFORD, CT

Past

March 29, 2012 - October 15, 2013

PIMCO INVESTMENTS LLC

CRD#: 154957

NEW YORK, NY

Past

April 13, 2006 - March 19, 2012

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

March 8, 2005 - March 29, 2006

E*TRADE SECURITIES LLC

CRD#: 29106

JERSEY CITY, NJ

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".

CITY NATIONAL SECURITIES, INC.

CITY NATIONAL SECURITIES, INC. | RBC SECURITIES, INC.

CRD#: 103705 / SEC#: 801-71181, 8-52265

RIA

Registered Investment Advisory firm - SEC (3/22/2010 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

State Registrations and Notice Filings

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

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

New York
(5/1/2024)

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 65

Date: 11/11/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/22/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/7/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 10/18/2005

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 8/25/2005

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 5/27/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CITY NATIONAL SECURITIES, INC.

CITY NATIONAL SECURITIES, INC. | RBC SECURITIES, INC.

CRD#: 103705 / SEC#: 801-71181, 8-52265

RIA

Registered Investment Advisory firm - SEC (3/22/2010 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

555 South Flower Street 11th Floor, Los Angeles, CA 90071

Mailing Address

555 South Flower Street 11th Floor, Los Angeles, CA 90071

Phone number

(310) 888-6400

Established

California since 11/03/1999

Firm type

Corporation

Fiscal year end

October

Firm Size

Medium

# of Employees

186

SEC notice filing (31 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

RBC SECURITIES ASSET ALLOCATION PROGRAM BROCHURE (1/29/2026)

RBC SECURITIES INVESTMENT ADVISORY PROGRAM BROCHURE (1/29/2026)

Direct owners and executive officers

Name	Position	CRD#
CITY NATIONAL BANK	SOLE SHAREHOLDER
BANUELOS, ALMA DELIA	BOARD DIRECTOR	4530705
BARTON, RICHARD JOSEPH	CHIEF COMPLIANCE OFFICER	2040869
BRETADO, SANTIAGO AVILA	VP & CHIEF FINANCIAL OFFICER	1945627
DANIEL, JOBY SWANKUTTY	BOARD DIRECTOR	6616727
GIAQUINTO, GREGG	BOARD DIRECTOR	3182583
MAGUIRE, WILLIAM JOHN JR	PRESIDENT & CHIEF EXECUTIVE OFFICER	2040885
O'KEEFFE, IVOR PATRICK	CHIEF OPERATING OFFICER & BOARD DIRECTOR	2397120
RILEY, SHAWN DAVID	BOARD DIRECTOR	7574191

Regulatory assets under management

Total Number of Accounts	1,781
AUM (Assets Under Management)	$ 1,515,102,638

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/28/2025	Cover Page	Report
10/27/2023	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Jason H. Schwartz

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jason Howard Schwartz's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITY NATIONAL SECURITIES, INC.

CREDIT SUISSE SECURITIES (USA) LLC

VALLEY FINANCIAL MANAGEMENT, INC.

CLARION PARTNERS SECURITIES, LLC

MC ASSET MANAGEMENT AMERICAS, LTD.

PIMCO INVESTMENTS LLC

PARK AVENUE SECURITIES LLC

E*TRADE SECURITIES LLC

Primary Firm SEC Registration

CITY NATIONAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/11/2008

Series 63

Date: 4/22/2005

SIE

Date: 10/1/2018

Series 7

Date: 3/7/2005

Series 10

Date: 10/18/2005

Series 9

Date: 8/25/2005

Series 24

Date: 5/27/2005

FINRA

Current Firm

CITY NATIONAL SECURITIES, INC.

Contact information

SEC notice filing (31 States and Territories)

FINRA licenses (51 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

CITY NATIONAL SECURITIES, INC.

TRUST BUT VERIFY

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