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Stephen Schwarz
43 Years of Experience
San Diego, CA
6 DisclosuresBroker
Stephen Schwarz is a registered investment advisor at Morgan Stanley, based in San Diego, CA, with 43 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
101 West Broadway, Suite 1800, San Diego, CA, 92101
Get directionsHistory
Regulatory History (6)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
January 2003Denied
Customer Dispute
March 2001Denied
Customer Dispute
July 1999Denied
Customer Dispute
August 1994Settled
Customer Dispute
February 1992Settled
Employment Separation After Allegations
March 1989Employment History
Current Registrations
Morgan Stanley
June 2009 - Present · 17 yrs 1 mo
Morgan StanleyBroker
June 2009 - Present · 17 yrs 1 mo
Previous Registrations
Citigroup Global Markets INC.
July 1997 - June 2009 · 11 yrs 11 mos
Citigroup Global Markets INC.Broker
May 1994 - June 2009 · 15 yrs 1 mo
Painewebber IncorporatedBroker
March 1992 - June 1994 · 2 yrs 3 mos
Torrey Pines Securities, INC.Broker
January 1992 - March 1992 · 2 mos
Torrey Pines Securities, INC.Broker
April 1989 - March 1992 · 2 yrs 11 mos
Prudential-Bache Securities INC.Broker
July 1987 - April 1989 · 1 yr 9 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 1983 - July 1987 · 4 yrs 4 mos
State Registrations21 states
AZCACOFLGAHIIDILMENCNJNVNYOHORPATNTXVAWAWV
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.