Catherine Elizabeth Schwartz

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2025-01-01
KS	RA	APPROVED	2021-07-21
OH	RA	APPROVED	2021-07-21
TX	RA	APPROVED_RES	2021-07-21
WY	RA	APPROVED	2021-07-21

CO RA
APPROVED

Since 2025-01-01
KS RA
APPROVED

Since 2021-07-21
OH RA
APPROVED

Since 2021-07-21
TX RA
APPROVED_RES

Since 2021-07-21
WY RA
APPROVED

Since 2021-07-21

Branch Locations

6080 Greenwood Plaza Blvd Ste A, Greenwood Village, CO 80111 • 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
Waddell & Reed, Inc.	Greenwood Village	CO	09/2004	Present
Various Insurance Carriers For W&R Insurance Agencies	Littleton	CO	09/2004	Present
Hoa, Gotham Condos	Denver	CO	12/2012	02/2017
Condo Rental	Denver	CO	02/2008	12/2017
American Lung Association Of Colorado	Greenwood Village	CO	04/2015	12/2018
Condo Rental	Steamboat Springs	CO	06/2018	Present
Catherine Schwartz Financial Advisor Llc	Greenwood	CO	02/2020	Present
Denver Public Library Friends Foundation	Denver	CO	02/2012	Present
Lpl Financial Llc	Greenwood Village	CO	07/2021	Present

09/2004 → Present

Waddell & Reed, Inc.

Greenwood Village, CO
09/2004 → Present

Various Insurance Carriers For W&R Insurance Agencies

Littleton, CO
12/2012 → 02/2017

Hoa, Gotham Condos

Denver, CO
02/2008 → 12/2017

Condo Rental

Denver, CO
04/2015 → 12/2018

American Lung Association Of Colorado

Greenwood Village, CO
06/2018 → Present

Condo Rental

Steamboat Springs, CO
02/2020 → Present

Catherine Schwartz Financial Advisor Llc

Greenwood, CO
02/2012 → Present

Denver Public Library Friends Foundation

Denver, CO
07/2021 → Present

Lpl Financial Llc

Greenwood Village, CO

Previous Registrations

2004-09-17 → 2021-07-21

Waddell & Reed

Denver, CO

Las Vegas, NV

Greenwood Village, CO
2003-05-12 → 2004-09-25

Ameriprise Financial Services, Llc

Denver, CO

Other Businesses

1) 09/07/2021 - Real Estate Rental - STEAMBOAT SPRINGS, CO / Investment Related / Started 2018 2) 10/12/2022 - Associates of Clifton Park - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - broker and facilitator - Start Date - 10/03/2022 - 1 Hours Per Month/1 Hours During Securities Trading 3) 12/06/2023 - Catherine Schwartz Financial Advisor LLC - DBA for LPL Business (entity for LPL business) - Owner - Investment Related - At Reported Business Location(s) - Start Date 10/18/2023 - 160 Hours Per Month/ During Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-05-09

S66 Uniform Combined State Law Examination

2003-05-09

Designations

Certified Financial Planner

Other Names

Cathy Elizabeth Schwartz
Catherine E Schwartz
Catherine Schwartz

View on SEC IAPD