David Schwartz (CRD# 1094495) is an Investment Advisor Representative working at Captrust in Lake Sucess, NY and has 1 year of experience in the finance industry. David 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.
CRD# 2708116
Park Avenue Securities LLC
CRD# 5146297
Origin Investment Advisory LLC
CRD# 4632189
Sarsi, LLC
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Capfinancial Partners Llc (captrust) | Raleigh, NC | Oct 2018 - Current | 5 |
| Capfinancial Securities LLC | Raleigh, NC | Oct 2018 - Current | 5 |
| Klein & Company | Great Neck, NY | Jan 2013 - Dec 2019 | 6 |
| Excelsior Opportunity Management | Great Neck, NY | Jan 2012 - Dec 2019 | 7 |
| Excelsior Opportunity Advisors | Great Neck, NY | Jan 2012 - Dec 2019 | 7 |
| Fc Equities, Ltd. | Great Neck, NY | Jan 2006 - Dec 2019 | 13 |
| First Capital Consulting, Inc. | Great Neck, NY | Jan 1989 - Dec 2019 | 30 |
| Excelsior Management, LLC | Great Neck, NY | Jan 1989 - Dec 2019 | 30 |
| First Capital Equities,ltd. | Great Neck, NY | Jul 1983 - Dec 2019 | 36 |
| Fce Group, Inc. | Great Neck, NY | Jul 1983 - Dec 2019 | 36 |
| Tri-state Consumer Insurance | Great Neck, NY | Jan 1984 - Dec 2016 | 32 |
| Mfa Construction, Inc. | Great Neck, NY | Jan 1989 - Dec 2015 | 26 |
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, financial matters, and other matters required to be disclosed in which the advisor has been involved.
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Total Assets Under Management852,173MILLIONS
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Total Number of Accounts100,603ACCOUNTS
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Average Account Value$8,470,653
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