Daniel Stephen Schwartz

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2015 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY

Previous Registrations

• 2013-08-06 → 2015-03-06
  Ubs Financial Services Inc.
  Weehawken, NJ
• 2009-06-01 → 2013-08-21
  Morgan Stanley
  New York, NY
  New York, NY
  New York, NY
• 2007-04-02 → 2009-06-01
  Morgan Stanley & Co. Llc
  New York, NY
  New York, NY
• 2006-01-03 → 2007-04-02
  Morgan Stanley Dw Inc.
  New York, NY
  New York, NY

Other Businesses

I*134531 For profit or not for profit: For-Profit Organization Name of outside business organization: 620 Tenants Corp. Investment related: N Address of business: Bronx, New York 10463 Nature of business: Corporation, Position, title, association: Director, Start date of relationship: 11/24/2020 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Co-operative apartment corporation. I would assist in the management of the corporation. We would meet monthly and occasionally interview new apartment tenants and owners and vote on various issues such as rules and building improvements.

Exams

• S65 Uniform Investment Adviser Law Examination
  2004-11-01
• S63 Uniform Securities Agent State Law Examination
  2004-03-02

Other Names

• Dan Schwartz
• Daniel S Schwartz
• Daniel Stephen Schwartz
• Dan S Schwartz