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Harold Schwartz

Dmk Advisor Group, INC.
45 Years of Experience
Lutz, FL
5 DisclosuresBrokerSells Insurance
View SEC Summary
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Harold Schwartz is a registered investment advisor at Dmk Advisor Group, INC., based in Lutz, FL, with 45 years of industry experience. Harold is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 515 clients with $130M in assets under management.

Dmk Advisor Group, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
27 advisors
Number of Clients
515 clients
Average Client Portfolio
$254K average
Assets Under Management
$130.8M

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)

DMK Advisor Group charges management fees based on a percentage of the value of your portfolio, though the exact fee schedule is determined on an individual client basis. Fees are negotiable except for direct participation and variable annuities. Management fees are typically billed quarterly in advance for discretionary accounts or quarterly in arrears for non-discretionary accounts.

View Full SEC Brochure

Location

17961 Hunting Bow Circle, Suite 102, Lutz, FL, 33558

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History

Regulatory History (5)
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 2020
Denied
Regulatory
November 2019
Final
Employment Separation After Allegations
February 2019
Customer Dispute
August 2018
Settled
Customer Dispute
December 2001
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Harold is the President of Del Mar Group Inc, dedicating about 10-20% of his time. He is also a 50% owner and Managing Member of Coquina Key Publishing, LLC, spending minimal time, and DMG Financial LLC, spending a few hours per week, which involves marketing, management, and insurance sales.

Employment History
Current Registrations
Dmk Advisor Group, INC.
January 2022 - Present · 4 yrs 9 mos
Compass Financial Management LLC
May 2021 - Present · 5 yrs 5 mos
Dmk Advisor Group, INC.Broker
February 2019 - Present · 7 yrs 8 mos
Dmk Advisor Group, INC.
February 2019 - Present · 7 yrs 8 mos
Previous Registrations
Dmk Advisor Group, INC.
February 2019 - December 2021 · 2 yrs 10 mos
Stephen A. Kohn & Associates, LTD.
February 2019 - February 2019 · 0 mos
Royal Alliance Associates, INC.
November 2017 - February 2019 · 1 yr 3 mos
New Century Financial Group, LLC
July 2015 - April 2018 · 2 yrs 9 mos
Royal Alliance Associates, INC.Broker
June 2015 - February 2019 · 3 yrs 8 mos
Royal Alliance Associates, INC.
June 2015 - July 2015 · 1 mo
Tlg Advisors, INC.
March 2006 - July 2015 · 9 yrs 4 mos
The Leaders Group, INC.Broker
October 1995 - July 2015 · 19 yrs 9 mos
D.E. Frey & Company, INC.Broker
November 1993 - October 1995 · 1 yr 11 mos
Pruco Securities CorporationBroker
June 1992 - July 1993 · 1 yr 1 mo
Lehman Brothers INC.Broker
April 1988 - April 1991 · 3 yrs
E. F. Hutton & Company INCBroker
August 1982 - April 1988 · 5 yrs 8 mos
Connecticut Mutual Life Insurance CompanyBroker
October 1980 - August 1981 · 10 mos
New York Life Variable Contracts CorporationBroker
August 1977 - November 1979 · 2 yrs 3 mos
State Registrations36 states
AKALARAZCACOCTFLGAIAIDILINKSLAMIMNMOMSMTNCNDNENHNYOHORPAPRSCSDTNTXVAWAWY
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.
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