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Stephen T. Schwarzbach
ICON WEALTH PARTNERS
Houston, TX 77056
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CRD#: 5518637
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Professional summary
Stephen Thomas Schwarzbach is a registered financial advisor currently at ICON WEALTH PARTNERS located in Houston, Texas.
Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Stephen has worked at 5 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) Mr. Schwarzbach is dually-registered with Icon Wealth Partners, LLC ("Icon") and Purshe Kaplan Sterling Investments, Inc. ("PKS"). Mr. Schwarzbach has served as an investment advisor representative for Icon since 2/2017 and a registered representative with PKS since 2/2017. Business is conducted from 1980 Post Oak Boulevard, Suite 1300 Houston, TX 77056. Approximately 90% of Mr. Schwarzbach's time is for services as an investment advisor representative and the balance as a registered representative.
2) BLACK RIVER REALTY; INVESTMENT RELATED; 11923 ARBORDALE HOUSTON, TX 77024; INVESTMENT REAL ESTATE; PARTNER/OWNER; START DATE: 01/2009; 4 HOURS/MONTH; 0 HOURS/MONTH DURING TRADING HOURS; OWNER OF INVESTMENT REAL ESTATE PROPERTIES
3) SPRING SPIRIT BASEBALL; NOT INVESTMENT RELATED; 8526 PITNER ROAD HOUSTON, TX 77080; NON-PROFIT SERVING UNDERPRIVILEGED CHILDREN; DIRECTOR; 02/2009; 4 HOURS/MONTH; 1 HOUR DURING SECURITIES TRADING HOURS; DIRECTOR WITH GENERAL DUTIES PROVIDING OVERSIGHT AND INPUT ON THE PROGRAMS OFFERED TO LOCAL YOUTH
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Thomas Schwarzbach'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®
NoneExperience
Current
August 1, 2022 - Present
ICON WEALTH PARTNERS
Office #1: 1980 Post Oak Boulevard Suite 1300, Houston, TX 77056RIA
CRD#: 319609
Houston, TX
Past
February 22, 2017 - September 4, 2024
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Houston, TX
Past
February 17, 2017 - August 1, 2022
ICON WEALTH PARTNERS, LLC
RIA
CRD#: 283098
HOUSTON, TX
Past
June 1, 2009 - February 23, 2017
MORGAN STANLEY
RIA
CRD#: 149777
HOUSTON, TX
Past
June 1, 2009 - February 23, 2017
MORGAN STANLEY
BD
CRD#: 149777
HOUSTON, TX
Past
July 29, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
HOUSTON, TX
Past
July 4, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
HOUSTON, TX
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".
IW
ICON WEALTH PARTNERS
ICON WEALTH ADVISORS, LLC | ICON WEALTH PARTNERS
CRD#: 319609 / SEC#: 801-125893
RIA
Registered Investment Advisory firm - (6/21/2022 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Texas(8/1/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
IW
ICON WEALTH PARTNERS
ICON WEALTH ADVISORS, LLC | ICON WEALTH PARTNERS
CRD#: 319609 / SEC#: 801-125893
RIA
Registered Investment Advisory firm - (6/21/2022 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1980 Post Oak Boulevard Suite 1300, Houston, TX 77056
Mailing Address
1980 Post Oak Boulevard Suite 1300, Houston, TX 77056
Phone number
(713) 904-5020
Established
Firm type
Fiscal year end
# of Employees
22
SEC notice filing (9 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,238 |
| AUM (Assets Under Management) | $ 2,254,300,468 |
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.
