Steven Richard Schwarz
Investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated
7 yearsExperience
2 statesRegistered in
$1.8TFirm assets
47 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat feeCommissions
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
7 years in the industry.
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedOct 2022 to now
- Arete Wealth Advisors, LLCMar 2022 to Oct 2022
- Independent Brokerage Solutions LLCJan 2021 to Jun 2022
- Masterworks Investor Services, LLCJan 2021 to Jun 2022
- Inzone LogisticsDec 2020 to Jan 2021
- La Familia RestaurantDec 2020 to Jan 2021
- Crunch FitnessNov 2020 to Nov 2020
- Argyle Grill and TavernOct 2020 to Oct 2020
- Equitable Advisors, LLCJul 2020 to Oct 2020
- UnemployedApr 2020 to Jun 2020
- ApplebeesFeb 2020 to Mar 2020
- JockeyDec 2019 to Jan 2020
- Northwestern Mutual Investment Services LLCApr 2018 to Jul 2018
- American EagleDec 2017 to Jan 2018
- Suny BinghamtonAug 2017 to Jan 2020
- UnemployedJul 2017 to Aug 2017
- Joseph GunnarDec 2016 to Jan 2017
- American Capital PartnersAug 2016 to Dec 2016
- Suffolk Community CollegeAug 2015 to Jun 2017
Exams passed
- Series 63 · Uniform Securities Agent State Law2016
- Series 66 · Uniform Combined State Law2019
State registrations
Registered as an investment adviser representative in 2 states (NY, TX).
Merrill Lynch, Pierce, Fenner & Smith Incorporated
$1.8TAssets managed
1,838,984Clients
25,558Advisers
47 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 6696072
- Firm CRD
- 7691