Inactive

Brett Hall Schwartz

CRD 2947803

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Employer firm

Captrust CRD 175112

$1.24T regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (pooled vehicles)
Portfolio management (institutions)
Pension consulting
Selection of other advisers

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

Current Employers

Captrust

4208 Six Forks Rd Suite 1700, Raleigh, NC 27609 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-02-03
CT	RA	APPROVED	2018-10-29
NC	RA	APPROVED	2018-10-29

NY RA
APPROVED

Since 2021-02-03
CT RA
APPROVED

Since 2018-10-29
NC RA
APPROVED

Since 2018-10-29

Branch Locations

New York, NY • United States

Kent, CT • United States

4208 Six Forks Rd Suite 1700, Raleigh, NC 27609 • United States

Disclosures

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

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Brett Schwartz, Cfp	New York	NY	05/1987	Present
First Capital Equities,Ltd.	Great Neck	NY	01/1998	10/2018
First Capital Consulting, Inc.	Great Neck	NY	01/1998	10/2018
Captrust Financial Advisors	Raleigh	NC	10/2018	Present

05/1987 → Present

Brett Schwartz, Cfp

New York, NY
01/1998 → 10/2018

First Capital Equities,Ltd.

Great Neck, NY
01/1998 → 10/2018

First Capital Consulting, Inc.

Great Neck, NY
10/2018 → Present

Captrust Financial Advisors

Raleigh, NC

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1998-01-20

S63 Uniform Securities Agent State Law Examination

1998-01-20

Designations

Certified Financial Planner

View on SEC IAPD

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