Larry Schwartzman is a financial professional at Wells Fargo Advisors, LLC, a broker-dealer with over 26,000 registered representatives nationwide. Larry has held an industry securities registration for 29 years and is subject to SEC and FINRA oversight.
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|Other Investment Advisors|
|Pension and Profit Sharing Plans|
|Banking or Thrift Institutions|
|Corporations or Other Businesses|
|State or Municipal Government Entities|
|High Net Worth Individuals|
|Business Development Companies|
|Other Pooled Investment Vehicles|
*The Client Types data displayed is firm level data as reported on the SEC ADV filing.
|Wells Fargo Advisors, LLC (19616)||4 years, 10 months||May 2009 - Present|
|Wachovia Securities,LLC||2 years, 3 months||Feb 2007 - May 2009|
|Ferris, Baker Watts, Inc.||2 years, 2 months||Dec 2004 - Feb 2007|
|Salomon Smith Barney Inc.||11 years, 4 months||Jul 1993 - Nov 2004|
|As of Date||
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
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|Uniform Investment Adviser Law Examination||Series 65||03/05/1992|
|National Commodity Futures Examination||Series 3||09/28/1984|
|Uniform Securities Agent State Law Examination||Series 63||08/31/1984|
|General Securities Representative Examination||Series 7||08/18/1984|
Types of Compensation Arrangements
- Percentage of Assets
- Hourly Charges
- Fixed Fees