Douglas W. Schwartz

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CRD#: 860870

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Douglas William Schwartz was a registered financial professional .

Douglas is a previously registered financial professional and started their career in finance in 1980. Douglas had worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 4, 2015 - November 21, 2019

OARSMAN CAPITAL, INC

RIA

CRD#: 109993

EPHRAIM, WI

Past

May 1, 1996 - August 11, 2015

RILEY & SCHWARTZ INVESTMENT ADVISORS

RIA

CRD#: 110144

EPHRAIM, WI

Past

May 18, 1995 - April 23, 1996

ASSOCIATED INVESTMENT SERVICES, INC.

CRD#: 1464

GREEN BAY, WI

Past

August 25, 1994 - May 5, 1995

INVESTMENT DESIGNERS, INC.

CRD#: 19527

BROOKFIELD, WI

Past

June 27, 1990 - April 3, 1992

INVESTMENT DESIGNERS, INC.

CRD#: 19527

BROOKFIELD, WI

Past

June 12, 1987 - March 23, 1989

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

June 20, 1980 - June 24, 1987

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

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".

OARSMAN CAPITAL, INC

LRC AVIATION ADVISORS | OARSMAN CAPITAL, INC | NACKERS & ASSOCIATES, A DIVISION OF OARSMAN CAPITAL, INC.

CRD#: 109993 / SEC#: 801-60988

RIA

Registered Investment Advisory firm - (3/15/2002 Approved)

Washington

Registered Investment Advisory firm - (3/27/2002 Terminated)

Wisconsin

Registered Investment Advisory firm - (4/5/2002 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).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 9/13/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/25/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/24/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 5/27/1982

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

OARSMAN CAPITAL, INC

LRC AVIATION ADVISORS | OARSMAN CAPITAL, INC | NACKERS & ASSOCIATES, A DIVISION OF OARSMAN CAPITAL, INC.

CRD#: 109993 / SEC#: 801-60988

RIA

Registered Investment Advisory firm - (3/15/2002 Approved)

Washington

Registered Investment Advisory firm - (3/27/2002 Terminated)

Wisconsin

Registered Investment Advisory firm - (4/5/2002 Terminated)

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Contact information

Main Address

790 North Water Street Suite 1850, Milwaukee, WI 53202

Mailing Address

Phone number

(414) 221-0081

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OARSMAN CAPITAL ADV PART 2 (11/25/2025)

Regulatory assets under management

Total Number of Accounts	1,872
AUM (Assets Under Management)	$ 926,809,806

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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Advisor Monitoring

Firm Stability Insights

Douglas W. Schwartz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RILEY & SCHWARTZ INVESTMENT ADVISORS

ASSOCIATED INVESTMENT SERVICES, INC.

INVESTMENT DESIGNERS, INC.

INVESTMENT DESIGNERS, INC.

UBS FINANCIAL SERVICES INC.

PIPER SANDLER & CO.

Primary Firm SEC Registration

OARSMAN CAPITAL, INC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/13/2003

Series 63

Date: 8/25/1994

Series 7

Date: 8/24/1994

Series 8

Date: 5/27/1982

Current Firm

OARSMAN CAPITAL, INC

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OARSMAN CAPITAL, INC

TRUST BUT VERIFY

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