Aaron J. Schwartz

MCFARLAND ASSOCIATES

Monterey, CA 93940

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CRD#: 5578079

Professional summary

Aaron J Schwartz, CFP® is a registered financial advisor currently at MCFARLAND ASSOCIATES located in Monterey, California.

Aaron is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Aaron has worked at 2 firms and has passed the Series 63, Series 65, SIE 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.

AARON SCHWARTZ not investment-related private residence in Salinas, CA Private flight instruction, private pilot service Flight Instructor, Pilot 1997 0 hours per month 0 hours during trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aaron J Schwartz'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®

CFP^®

Certified Financial Planner

Experience

Current

May 18, 2010 - Present

MCFARLAND ASSOCIATES

Office #1: 80 Garden Court Suite 230, Monterey, CA 93940

RIA

CRD#: 111316

Monterey, CA

Past

March 19, 2010 - March 8, 2017

NPB FINANCIAL GROUP, LLC

CRD#: 137743

MONTEREY, CA

Past

December 3, 2009 - March 8, 2017

NPB FINANCIAL GROUP, LLC

RIA

CRD#: 137743

MONTEREY, CA

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

California
(5/18/2010)

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

Series 63

Date: 6/16/2010

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/1/2009

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 3/8/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/18/2010

General Securities Representative Examination

Current Firm

MCFARLAND ASSOCIATES

LANDSWORTH CORPORATION | MCFARLAND ASSOCIATES | LANDSWORTH CORPORATION DBA MCFARLAND ASSOCIATES

CRD#: 111316 / SEC#:

California

Registered Investment Advisory firm - (7/10/1991 Approved)

Pennsylvania

Registered Investment Advisory firm - (8/25/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

80 Garden Court Suite 230, Monterey, CA 93940

Mailing Address

Pob 1768, Monterey, CA 93942-1768

Phone number

(831) 761-8231

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	157
AUM (Assets Under Management)	$ 83,135,255

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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Aaron J. Schwartz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aaron J Schwartz's CRS (Customer Relationship Summary).

Certified licenses

Experience

MCFARLAND ASSOCIATES

NPB FINANCIAL GROUP, LLC

NPB FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/16/2010

Series 65

Date: 12/1/2009

SIE

Date: 3/8/2017

Series 7

Date: 3/18/2010

Current Firm

MCFARLAND ASSOCIATES

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MCFARLAND ASSOCIATES

TRUST BUT VERIFY

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