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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2018-07-10
  • MD RA
    APPROVED
    Since 2018-07-10

Branch Locations

100 International Dr, Baltimore, MD 21202 • United States

620 S Tryon St, Charlotte, NC 28255 • 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
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Baltimore MD 04/2018 Present
U.S. Trust, Bank Of America Baltimore MD 04/2010 04/2018
Bank Of America,N .A. Baltimore MD 04/2018 Present
Previous Registrations
  • 2009-01-27 → 2010-04-20
    Bb&T Investment Services, Inc.
    College Park, MD
    Charlotte, NC
    College Park, MD
  • 2008-07-07 → 2008-12-31
    Bb&T Investment Services, Inc.
    Charlotte, NC
    College Park, MD
Other Businesses

I*442699, Entity Type: Entity Charitable, Name of OBA: The Community Foundation of Howard County, Address: Columbia, Maryland 21044, Investment Related: Y, Position, Title, Association: Other, Employee Start Date: 09/09/2015, No Hours: 1, No Hours during trading: 0, Duties: This is a Donor Advised Fund for our Family held at the Community Foundation of Howard County

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-07-09
  • S66 Uniform Combined State Law Examination
    2018-07-09
Other Names
  • Howard Schwartz
  • Howard D Schwartz
  • Howard David Schwartz

View on SEC IAPD

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