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Larry Alan Schwartzman

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Information

Firm:
Type: Dual Registration
Description

Larry Schwartzman is a financial professional at Wells Fargo Advisors, LLC, a broker-dealer with over 26,900 registered representatives nationwide. Larry has held an industry securities registration for 30 years and is subject to SEC and FINRA oversight.

Advisor Timeline

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Experience
EmployerYearsDates
Wells Fargo Advisors LLC 5 years, 5 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
Exams
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 03/05/1992
Uniform Securities Agent State Law ExaminationSeries 63 08/31/1984

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Larry Alan Schwartzman has not answered any questions on Financial Q&A.

Top Guides

Larry Alan Schwartzman has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
Other Investment Advisors
Business Development Companies
State or Municipal Government Entities
Corporations or Other Businesses
Other Pooled Investment Vehicles
Investment Companies
Charitable Organizations
Pension and Profit Sharing Plans
Banking or Thrift Institutions
High Net Worth Individuals
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

1 Termination

No Disclosures Found

As of Date
09/06/2014
06/26/2014
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*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.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions