TrueAdvisor
TrueAdvisor
LS
LS

Larry Schwartz

Ameriprise Financial Services, LLC
30 Years of Experience
New York, NY
1 DisclosureBroker
View SEC Summary
View SEC Summary

Larry Schwartz is a registered investment advisor at Ameriprise Financial Services, LLC, based in New York, NY, with 30 years of industry experience. Larry is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Charitable Giving, Corporate Executives, Education Planning, and 6 more. Their firm serves 1,386,329 clients with $660B in assets under management.

Ameriprise Financial Services, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
12955 advisors
Number of Clients
1,386,329 clients
Average Client Portfolio
$476K average
Assets Under Management
$660.5B

Fee Structure

Minimum Investment:$2K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

The maximum total annual advisory fee is 2.0% of managed account assets. Fees are negotiable with your financial advisor and vary based on the specific program and services selected.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

777 Third Avenue, 20th Floor, New York, NY, 10017-1401

Get directions

History

Regulatory History (1)
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 2009
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Larry co-owns a tax preparation business and two real estate properties. The tax business and Schwartz Accounting each take about 35-50 hours per month, while the real estate activities require a few hours per week.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
May 2023 - Present · 3 yrs 5 mos
Ameriprise Financial Services, LLCBroker
May 2023 - Present · 3 yrs 5 mos
Previous Registrations
Cetera Advisor Networks LLC
March 2021 - May 2023 · 2 yrs 2 mos
Cetera Advisor Networks LLCBroker
October 2019 - May 2023 · 3 yrs 7 mos
New Century Financial Group, LLC
October 2002 - April 2004 · 1 yr 6 mos
Royal Alliance Associates, INC.Broker
June 1998 - November 2019 · 21 yrs 5 mos
Nathan & Lewis Securities, INC.Broker
January 1997 - July 1998 · 1 yr 6 mos
Metlife Securities INC.Broker
December 1995 - January 1997 · 1 yr 1 mo
Metropolitan Life Insurance CompanyBroker
December 1995 - January 1997 · 1 yr 1 mo
State Registrations21 states
AZCACTDEFLGAKYMAMDMEMIMNNCNENJNVNYPASCTNVA
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.
More Advisors
More financial advisors in New York, NY →All financial advisors in New York →
Larry Schwartz - Financial Advisor | TrueAdvisor