Brian Schwartz is a registered investment advisor, based in Wayzata, MN, with 17 years of industry experience.
Location
1905 Wayzata Blvd Ste 155, Wayzata, MN, 55391
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Regulatory History (2)
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Customer Dispute
July 2009Settled
Criminal
May 2004Final Disposition
Other Business Activities
Brian owns BKEM Consulting, a business entity created to manage his financial advisory practice. He spends minimal time on this activity.
Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
July 2021 - Present · 4 yrs 10 mos
Raymond James Financial Services, INC.Broker
July 2021 - Present · 4 yrs 10 mos
Previous Registrations
Ameriprise Financial Services, LLC
April 2010 - August 2021 · 11 yrs 4 mos
Ameriprise Financial Services, LLCBroker
June 2008 - August 2021 · 13 yrs 2 mos
State Registrations41 states
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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.