Harvey Schwartz
Harvey Schwartz is a registered investment advisor at Ameriprise Financial Services, LLC, based in Alpharetta, GA, with 30 years of industry experience. Harvey operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 1,330,280 clients with $560B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Ameriprise Financial Services offers several managed account programs. The fees vary depending on the program selected. These fees include an asset-based fee, which covers investment advisory services and investment management fees. Some accounts may also have an Investments and Infrastructure Support Fee. Clients also pay investment costs, which are the underlying fees related to investment products purchased within the managed account. Additional fees and expenses may be incurred based on the nature of the investments.
Location
11175 Cicero Dr, Ste 450, Alpharetta, GA, 30022-1166
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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.
Learn about disclosures →Other Business Activities
Harvey serves as President on the Board of Directors for Schwartz. This activity is not investment-related and takes about 10-20% of his time.
Employment History
Current Registrations
Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLCBroker
Previous Registrations
Fsc Securities Corporation
Fsc Securities CorporationBroker
Triad Advisors, INC.
Triad Advisors, INC.Broker
First Legacy Securities, LLCBroker
First Legacy Securities, LLC
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Wachovia Securities, LLCBroker
A. G. Edwards & Sons, INC.Broker
Invesco Distributors, INC.Broker
MML Distributors, LLCBroker
Sunamerica Capital Services, INC.Broker
Advantage Capital CorporationBroker
Uslife Equity Sales CORP.Broker
First Financial Securities of America, 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.