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Howard Schwartz
26 Years of Experience
Boca Raton, FL
4 DisclosuresSells Insurance
Howard Schwartz is a registered investment advisor at Financial One, INC., based in Boca Raton, FL, with 26 years of industry experience. Howard operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 22 clients with $26M in assets under management.
Compensation
Fee-Only (% of Portfolio)
Firm Size
1 advisor
IM Fee
Planning only
Assets Under Management
$25.9M
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Location
Boca Raton, FL
Get directionsHistory
Regulatory History (4)
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Regulatory
June 2015Final
Regulatory
March 2015Final
Regulatory
November 2014Final
Employment Separation After Allegations
August 2013Other Business ActivitiesSells Insurance
Howard is an insurance agent with various insurance agencies since 1995 and is involved with two real estate companies. He dedicates minimal time to the real estate activities.
Employment History
Current Registrations
Financial One, INC.
June 2016 - Present · 9 yrs 11 mos
Previous Registrations
Financial One, INC.
October 2013 - October 2015 · 2 yrs
Raymond James Financial Services Advisors, INC
May 2009 - August 2013 · 4 yrs 3 mos
Raymond James Financial Services
March 2007 - October 2009 · 2 yrs 7 mos
Raymond James Financial Services, INC.Broker
March 2002 - August 2013 · 11 yrs 5 mos
Noble International Investments, INC.Broker
May 2001 - April 2002 · 11 mos
Locust Street Securities, INC.Broker
October 1998 - June 2001 · 2 yrs 8 mos
State Registrations1 state
FL
Advisor
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.