Daniel Schwartz

Employer firm

Wealth Enhancement Advisory Services, LLC CRD 116407

$122B regulatory AUM 327 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Pension consulting
• Selection of other advisers
• Educational seminars
• ERISA 3(38) INVESTMENT MANAGER

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

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

Current Employers

Employment History

• 11/2010 → 10/2020
  Legg Mason Investor Services, Llc
  Stamford, CT
• 11/2010 → 10/2020
  Legg Mason & Co Llc
  Stamford, CT
• 11/2010 → 10/2020
  Clearbridge Investments Llc
  New York, NY
• 10/2020 → 01/2025
  Nuveen Securities, Llc
  Charlotte, NC
• 10/2020 → 01/2025
  Nuveen Asset Management, Llc
  Chicago, IL
• 06/2025 → Present
  Wealth Enhancement Group
  Concord, NC
• 02/2025 → 05/2025
  Unemployed
  Concord, NC
• 06/2025 → Present
  Wealth Enhancement Advisory Services
  Concord, NC
• 01/2026 → Present
  Wealth Enhancement Brokerage Services
  Concord, NC

Previous Registrations

• 2020-11-17 → 2025-02-12
  Nuveen Asset Management, Llc
  Chicago, IL
• 2010-12-02 → 2020-10-07
  Clearbridge Investments, Llc
  New York, NY
• 2007-11-30 → 2010-06-02
  Touchstone Advisors Inc
  Cincinnati, OH
• 2007-02-09 → 2007-11-13
  Ameriprise Financial Services, Llc
  Westport, CT

Other Businesses

1. ACADEMY OF IT/COX MILL HIGH SCHOOL - BOARD MEMBER; START DATE 08/2023; BOARD MEMBER FOR HIGH SCHOOL IT PROGRAM; 1.5 HOURS SPENT PER MONTH WITH 0 HOURS DURING TRADING. 2. HOME AWAY FROM HOME IND, LLC - OWNER; START DATE 07/2023; CO-OWNER OF CODE NINJAS CONCORD WITH WIFE; 10 HOURS SPENT PER MONTH WITH 0 HOURS DURING TRADING.

Exams

• S65 Uniform Investment Adviser Law Examination
  2007-02-08
• S63 Uniform Securities Agent State Law Examination
  2007-02-01

Other Names

• Daniel Scott Schwartz
• Daniel Schwartz