Haley Schwartz (CRD# 6022987) is an Investment Advisor Representative working at Rkl Wealth Management LLC in Lancaster, PA and has over 6 years of experience in the finance industry.
CRD# 5665657
Northwestern Mutual Investment Services,llc
Score
103
CRD# 5679680
Kaufman Advisory Services, Inc.
Score
103
CRD# 5993607
Thrivent Investment Management Inc.
Score
100
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Rkl Wealth Management LLC | Lancaster, PA | Aug 2017 - Current | < 1 |
| Prudential Insurance Company Of America | York, PA | Dec 2011 - Jul 2017 | 5 |
| Pruco Securities LLC | York, PA | Dec 2011 - Jul 2017 | 5 |
| Model Management | Lancaster, PA | Jun 2010 - Nov 2011 | 1 |
| Penn State | State College, PA | Aug 2007 - May 2011 | 3 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Mar 2012 |
| S65 | NASAA Investment Advisors Law Examination | Apr 2013 |
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
- VA
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Total Assets Under Management882MILLIONS
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Total Number of Accounts2,144ACCOUNTS
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Average Account Value$411,171
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers (including private fund managers)
CO, DE, FL, LA, MD, NH, NJ, NY, PA, SC, TX, VA
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