Martin Schwartz, financial advisor Goshen NY
93 score

Martin Schwartz

CRD Number: 1282173
Current Firm: Stifel, Nicolaus & Company, Incorporated

Martin Schwartz (CRD# 1282173) is an Investment Advisor Representative working at Stifel, Nicolaus & Company, Incorporated in Goshen, NY and has over 32 years of experience in the finance industry.

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Company Name Location Dates Years
Stifel, Nicolaus & Company, Incorporated Goshen, NY Sep 2009 - Current 7
Ubs Financial Services Inc. Pearl River, NY Feb 2007 - Current 9
Salomon Smith Barney Inc. Goshen, NY Jul 1993 - Feb 2007 13
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 1984
S65 NASAA Investment Advisors Law Examination Mar 2010
Contact Info for Martin J. Schwartz
Phone Number: 314-342-2000
Firm Website: http://www.stifel.com
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    38,401
    MILLIONS
  • Total Number of Accounts
    115,441
    ACCOUNTS
  • Average Account Value
    $332,650
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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