Michael Schwartz, financial advisor Greenwood Village CO
86 score

Michael Schwartz

CRD Number: 1010029
Current Firm: Cetera Advisors LLC

Michael Schwartz (CRD# 1010029) is an Investment Advisor Representative working at Cetera Advisors LLC in Greenwood Village, CO and has over 31 years of experience in the finance industry. Michael Schwartz has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Fireside Insurance Agency Greenwood Village, CO May 2015 - Current 2
Cetera Advisors LLC Denver, CO Jan 2013 - Current 5
Fireside Mortgage Denver, CO Feb 1996 - Current 22
Wealth Masters,inc. Denver, CO May 1982 - Current 35
Multi-financial Securities Corporation Denver, CO Jul 2000 - Dec 2012 12
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Sep 1986
S65 NASAA Investment Advisors Law Examination Sep 1998
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Michael L. Schwartz
Phone Number: 800-929-3485
Registered State(s):
  • CO
  • TX
By the Numbers
  • Total Assets Under Management
    10,963
    MILLIONS
  • Total Number of Accounts
    51,290
    ACCOUNTS
  • Average Account Value
    $213,755
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, 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
86

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