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.

Jason is registered as a RR (Registered Representative) and started their career in finance in 2005. Jason has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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

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

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)

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

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583 / SEC#: , 8-21901

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

1285 Avenue Of The Americas, New York, NY 10019

Mailing Address

1285 Avenue Of The Americas, New York, NY 10019

Phone number

(212) 821-3000

Established

Delaware since 05/05/1977

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
UBS AMERICAS INC.	DIRECT OWNER
BELASCO, MICHAEL SCOTT	PRESIDENT AND CEO	4649742
HORAN, KATHLEEN ELIZABETH	CHIEF FINANCIAL OFFICER - FINOP	5188874
KEMPER, MARK FREDERICK	SECRETARY AND CHIEF LEGAL COUNSEL	4347419
MULLEN, BARRY JOHN	CHIEF COMPLIANCE OFFICER	1814958

Disclosures

Regulatory Event

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

Question & Answer

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

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

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

UBS ASSET MANAGEMENT (US) INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

UBS ASSET MANAGEMENT (US) INC.

TRUST BUT VERIFY

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