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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 26,100 registered representatives nationwide. Larry has held an industry securities registration for 29 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

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.

Experience and Employment History

Employer Years Dates
Wells Fargo Advisors, LLC (19616) 4 years, 11 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
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 12/17/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

1 Termination

1 Termination

As of Date
12/17/2012
08/14/2013
*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.

Advisor Exams

Exam Series Passed Date
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

Firm Compensation Arrangements

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Types of Compensation Arrangements

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