Steven E Schwartz

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

From the firm’s Form ADV. Read the guides:

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2023-08-25
NY	RA	APPROVED	2023-08-25
RI	RA	APPROVED	2019-05-16
TX	RA	APPROVED_RES	2019-05-09

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Wells Fargo Advisors, Llc	Philadelphia	PA	12/2012	09/2016
Wells Fargo Advisors Financial Network, Llc	Fort Washington	PA	11/2016	05/2019
Morgan Stanley	New York	NY	05/2019	Present

12/2012 → 09/2016

Wells Fargo Advisors, Llc

Philadelphia, PA
11/2016 → 05/2019

Wells Fargo Advisors Financial Network, Llc

Fort Washington, PA
05/2019 → Present

Morgan Stanley

New York, NY

2016-11-01 → 2019-05-07

Wells Fargo Advisors Financial Network, Llc

Fort Washington, PA
2012-12-17 → 2016-10-21

Wells Fargo Clearing Services, Llc

Radnor, PA

Wayne, PA

Short Hills, NJ

Summit, NJ

Radnor, PA

Philadelphia, PA
2009-06-01 → 2013-01-11

Morgan Stanley

West Conshohocken, PA

Jenkintown, PA

Jenkintown, PA

West Conshohocken, PA
2007-04-02 → 2009-06-01

Morgan Stanley & Co. Llc

Jenkintown, PA
2006-05-05 → 2007-04-02

Morgan Stanley Dw Inc.

Jenkintown, PA

Lancaster, PA

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-07-23
S63	Uniform Securities Agent State Law Examination	1993-07-16

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