Benjamin J. Schwartz
Professional summary
Benjamin Jakob Schwartz, AIF®, CFP®, who also goes by Benjamin Schwartz, is a registered financial advisor currently at PLANCORP, LLC located in Chicago, Illinois.
Benjamin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Benjamin has worked at 5 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Benjamin Jakob Schwartz's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 22, 2015 - Present
PLANCORP, LLC
April 12, 2012 - August 9, 2013
IPI WEALTH MANAGEMENT, INC.
April 12, 2012 - August 9, 2013
INVESTMENT PLANNERS, INC.
January 17, 2008 - April 5, 2012
EDWARD JONES
March 5, 2007 - January 7, 2008
VANGUARD MARKETING CORPORATION
Primary Firm SEC Registration
PLANCORP, LLC
CRD#: 106599 / SEC#: 801-20398
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(6/26/2018)
(9/11/2018)
(11/27/2024)
(4/13/2017)
(1/22/2015)
(3/16/2016)
Exams
Current Firm
PLANCORP, LLC
CRD#: 106599 / SEC#: 801-20398
Contact information
SEC notice filing (32 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,711 |
| AUM (Assets Under Management) | $ 7,294,144,052 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/09/2024 | ||
| 12/07/2023 | ||
| 10/27/2022 |
Red Flags
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