Seth Schwartz is a registered investment advisor at Kcd Financial, INC., based in Green Bay, WI, with 30 years of industry experience. Seth operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 1,145 clients with $180M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
KCD Financial offers asset management programs where fees are a percentage of the assets they manage. This fee can range from 0.5% to 3% annually, as agreed upon between you and KCD. The smaller your portfolio, the larger the percentage you might pay, and vice versa. The specific fee structure will be detailed in your Investment Advisory Services Agreement.
Location
3061 Allied Street, Suite B, Green Bay, WI, 54304
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Seth works full-time as a compliance principal for Broadridge Financial Solutions, reviewing content and submitting it to FINRA. He also owns a securities and advisory compliance consulting business, and serves as a FINRA arbitrator and HOA board member, dedicating minimal time to each.
Employment History
Current Registrations
Kcd Financial, INC.
Kcd Financial, INC.
Kcd Financial, INC.Broker
Previous Registrations
Centara Capital Management Group, INC.
Turner Capital Investments, LLC
Warner Beck IncorporatedBroker
Madison Avenue Advisors, INC.
Madison Avenue Securities, INC.Broker
Independent Financial Group, LLC
Independent Financial Group, LLC
Independent Financial Group, LLCBroker
Sentra Securities CORP
Spelman & CO INC
Sunamerica Securities, INC.
Spelman & CO., INC.Broker
Sentra Securities CorporationBroker
Sunamerica Securities, INC.Broker
Washington Square Securities, INC.Broker
John G. Kinnard and Company, IncorporatedBroker
Ascend Financial Services, INC.Broker
C.R.I. Securities, INC.Broker
Dmg Securities, INC.Broker
Jw Charles Securities,inc.Broker
Corporate Securities Group, INC.Broker
Dean Witter Reynolds INC.Broker
State Registrations2 states
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.