Harold Alan Schwartz
Professional Summary
Harold Alan Schwartz, who also goes by Harold A Schwartz, Hal Schwartz, is a registered financial advisor currently at COMPASS FINANCIAL MANAGEMENT LLC located in Lutz, Florida and DMK ADVISOR GROUP, INC. located in Lutz, Florida. Harold is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. Harold has worked at 12 firms and has passed the Series 66, Series 63, Series 99TO, SIE, PC,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Harold A Schwartz, Hal Schwartz
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
CALTON & ASSOCIATES, INC.
CSENGE ADVISORY GROUP, LLC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
CALTON & ASSOCIATES, INC.
CSENGE ADVISORY GROUP, LLC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
CALTON & ASSOCIATES, INC.
CSENGE ADVISORY GROUP, LLC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
CALTON & ASSOCIATES, INC.
CSENGE ADVISORY GROUP, LLC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Years of Experience
49 years in the financial services industry
Current & Past Employments
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
CALTON & ASSOCIATES, INC.
CSENGE ADVISORY GROUP, LLC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Current Firm
BURGESS WEALTH ADVISORY | ZODA FINANCIAL | THEUS WEALTH ADVISORS | TEXAS RETIREMENT STRATEGIES | SOUZA WEALTH MANAGEMENT | NATURE COAST CAPITAL | MY ROADMAP ADVISOR | MOWERY CAPITAL | MICHAEL LEE STRATEGY | MARKOWSKI INVESTMENTS HOLDING CORPORATION | MARKOWSKI BROTHERS HOLDING CORPORATION | KELLY INVESTMENT ADVISORS | KDH FINANCIAL | JOHN DANIELS CPA | INTELLIVISOR FAMILY OFFICE | INDEPENDENCE MONEY | FORTIFIED WEALTH MANAGEMENT | EXECUTIVE FINANCIAL SERVICES, INC. | DMK ADVISOR GROUP | DISE WEALTH MANAGEMENT | COMPASS FINANCIAL MANAGEMENT LLC
Contact Information
Main Address
2422 W. Sunset Drive, Tampa, FL 33629Phone Number
(813) 597-6400# of Employees
33SEC notice filing (23 States and Territories)
Registered to provide investment advisory services in 23 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
3,799AUM (Assets Under Management)
$893,836,789Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
CALTON & ASSOCIATES, INC.
CSENGE ADVISORY GROUP, LLC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
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.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
CALTON & ASSOCIATES, INC.
CSENGE ADVISORY GROUP, LLC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Primary Firm SEC Registration
BURGESS WEALTH ADVISORY | ZODA FINANCIAL | THEUS WEALTH ADVISORS | TEXAS RETIREMENT STRATEGIES | SOUZA WEALTH MANAGEMENT | NATURE COAST CAPITAL | MY ROADMAP ADVISOR | MOWERY CAPITAL | MICHAEL LEE STRATEGY | MARKOWSKI INVESTMENTS HOLDING CORPORATION | MARKOWSKI BROTHERS HOLDING CORPORATION | KELLY INVESTMENT ADVISORS | KDH FINANCIAL | JOHN DANIELS CPA | INTELLIVISOR FAMILY OFFICE | INDEPENDENCE MONEY | FORTIFIED WEALTH MANAGEMENT | EXECUTIVE FINANCIAL SERVICES, INC. | DMK ADVISOR GROUP | DISE WEALTH MANAGEMENT | COMPASS FINANCIAL MANAGEMENT LLC
State Registrations and Notice Filings
(9/3/2019)
(2/15/2023)
(4/10/2023)
(3/21/2023)
(9/11/2024)
(5/16/2019)
(11/10/2022)
(2/20/2019)
(5/10/2021)
(8/28/2019)
(4/2/2019)
(5/25/2021)
(3/27/2019)
(7/28/2025)
(11/14/2022)
(5/30/2019)
(8/13/2025)
(9/6/2019)
(1/4/2023)
(10/31/2024)
(11/14/2022)
(11/14/2022)
(11/14/2022)
(4/30/2019)
(2/6/2024)
(6/25/2019)
(2/4/2022)
(12/7/2022)
(12/9/2022)
(9/19/2024)
(5/16/2019)
(4/4/2019)
(10/28/2019)
(11/10/2022)
(5/4/2020)
(7/30/2025)
(4/10/2019)
(3/15/2019)
(1/14/2022)
(2/5/2024)
(7/29/2025)
(11/15/2022)
(2/7/2019)
(11/10/2022)
(4/4/2019)
(1/4/2022)
(8/28/2019)
(5/17/2024)
(11/10/2022)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
PC — AMEX Put and Call Exam
Passed May 1983Series 1 — Registered Representative Examination
Passed Jul 1977SRO Registrations
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
CALTON & ASSOCIATES, INC.
CSENGE ADVISORY GROUP, LLC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRS (Client Relationship Summary) - RIA
Click below to view Harold Alan Schwartz's CRS (Customer Relationship Summary).
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
CALTON & ASSOCIATES, INC.
CSENGE ADVISORY GROUP, LLC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
