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DS

David Schwarzenberger

FORESIDE FINANCIAL SERVICES
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 5449788
DS

Professional summary

David Schwarzenberger, who also goes by Dave Schwarzenberger, David Anton Schwarzenberger, is a registered financial professional currently at FORESIDE FINANCIAL SERVICES, LLC located in Chicago, Illinois.

David is registered as a RR (Registered Representative) and started their career in finance in 2008. David has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dave Schwarzenberger | David Anton Schwarzenberger

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 David Schwarzenberger's 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

January 3, 2022 - Present

FORESIDE FINANCIAL SERVICES, LLC

Office #1: 125 S. Wacker Drive Suite 2400, Chicago, IL 60606
BD
CRD#: 148477
Chicago, IL
Past

April 10, 2017 - December 31, 2021

CBIS FINANCIAL SERVICES, INC.

BD
CRD#: 20872
SAN FRANCISCO, CA
Past

June 26, 2014 - March 31, 2017

BAILARD FUND SERVICES, INC.

BD
CRD#: 21206
FOSTER CITY, CA
Past

May 21, 2014 - March 31, 2017

BAILARD, INC.

RIA
CRD#: 110550
FOSTER CITY, CA
Past

March 16, 2009 - October 4, 2013

FORESIDE FUNDS DISTRIBUTORS LLC

BD
CRD#: 31334
SAN FRANCISCO, CA
Past

July 11, 2008 - February 7, 2014

WHV INVESTMENTS, INC.

RIA
CRD#: 107214
SAN FRANCISCO, CA

State Registrations and Notice Filings

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

RR
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

RR
Alaska
(1/3/2022)
RR
Arizona
(1/3/2022)
RR
California
(1/3/2022)
RR
Colorado
(1/3/2022)
RR
Hawaii
(1/3/2022)
RR
Idaho
(1/3/2022)
RR
Illinois
(1/3/2022)
RR
Minnesota
(1/2/2024)
RR
Montana
(1/3/2022)
RR
Nevada
(1/3/2022)
RR
New Mexico
(1/3/2022)
RR
North Dakota
(1/2/2024)
RR
Oregon
(1/3/2022)
RR
South Dakota
(1/2/2024)
RR
Texas
(1/3/2022)
RR
Utah
(1/3/2022)
RR
Washington
(1/3/2022)
RR
Wyoming
(1/3/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 4/17/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/26/2014
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/13/2009
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FF
FORESIDE FINANCIAL SERVICES, LLC
BHIL DISTRIBUTORS, INC. | FORESIDE FINANCIAL SERVICES, LLC | BHIL DISTRIBUTORS, LLC

CRD#: 148477 / SEC#: , 8-68027

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Delaware since 07/31/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FORESIDE DISTRIBUTORS, LLCDIRECTOR OWNER/SOLE MEMBER
BRUNNER, JENNIFER ANNEVICE PRESIDENT/CHIEF COMPLIANCE OFFICER1137783
COWAN, TERESA MARIA KAZMIERSKIPRESIDENT/MANAGER/DIRECTOR1544189
EDELMAN, GABRIELSECRETARY6654419
LA FOND, SUSAN LORENETREASURER4512785
LANZA, CHRISTOPHER CONTEVICE PRESIDENT2184856
MACCHIA, KATE SCHENDELVICE PRESIDENT4863973
SOMMERS, WESTONCFO/FINOP5290145

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.

Company Information

FORESIDE FINANCIAL SERVICES, LLC

CRD#: 148477Chicago, IL 60606

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