Howard L. Schwartz

FINANCIAL ONE

Boca Raton, FL

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CRD#: 828039

Professional summary

Howard Lester Schwartz is a registered financial advisor currently at FINANCIAL ONE, INC. located in Boca Raton, Florida.

Howard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Howard has worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 6 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. INSURANCE AGENT WITH VARIOUS INSURANCE AGENCIES; BOCA RATON, FLORIDA; MARCH 1995 - PRESENT. In addition to the above, Mr. Schwartz is currently the Authorized Member, Manager or serving in other capacity with the companies below. None of these companies take up 10% or more of Mr. Schwartz' time nor do they account for 10% or more of Mr. Schwartz' income. Howel Realty LLC - Real Estate, Established 8/30/2010. Mr. Schwartz is the Managing Member. Realty Home Advisor Inc. - Real Estate Firm - Real Estate Agent - 1/6/14 - Less than 1 hour per month and 0 hours during trading. List Real Estate for sale and represent buyers and sellers.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Howard Lester Schwartz's CRS (Customer Relationship Summary).

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

BOCA RATON, FL

Past

May 14, 2001 - April 9, 2002

NOBLE CAPITAL MARKETS, INC.

CRD#: 15768

BOCA RATON, FL

Past

October 15, 1998 - June 22, 2001

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

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

Florida
(6/2/2016)

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

IAR

Series 65

Date: 3/15/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/24/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/19/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/8/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FINANCIAL ONE, INC.

5 TACTICAL ADVISOR, LLC | FINANCIAL ONE, INC.

CRD#: 168061 / SEC#: 801-78226

RIA

Registered Investment Advisory firm - (11/23/2015 Terminated)

Florida

Registered Investment Advisory firm - (10/15/2015 Approved)

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

Boca Raton, FL

Mailing Address

Phone number

(561) 241-0000

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	22
AUM (Assets Under Management)	$ 25,886,175

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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Firm Stability Insights

Howard L. Schwartz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Howard Lester Schwartz's CRS (Customer Relationship Summary).

Certified licenses

Experience

FINANCIAL ONE, INC.

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

NOBLE CAPITAL MARKETS, INC.

LOCUST STREET SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/15/2007

Series 63

Date: 1/24/2002

Series 7

Date: 9/19/2001

Series 6

Date: 10/8/1998

Current Firm

FINANCIAL ONE, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FINANCIAL ONE, INC.

TRUST BUT VERIFY

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