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Kathryn Elizabeth Schwartz

Pawleys Investment Advisors, LLC

Delray Beach, FL

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Current Employers
Pawleys Investment Advisors, Llc

Delray Beach, FL • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2022-10-13
SC RA APPROVED 2010-11-03
  • FL RA
    APPROVED
    Since 2022-10-13
  • SC RA
    APPROVED
    Since 2010-11-03

Branch Locations

Delray Beach, FL • 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
Pawleys Investment Advisors, Llc Delray Beach FL 09/2010 Present
Previous Registrations
  • 2009-05-27 → 2010-11-02
    Edward Jones
    St Louis, MO
    Surfside Beach, SC
    Pawleys Island, SC
Other Businesses

FINRA Arbitrator

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-05-15
S63 Uniform Securities Agent State Law Examination 1992-05-20
  • S66 Uniform Combined State Law Examination
    2009-05-15
  • S63 Uniform Securities Agent State Law Examination
    1992-05-20
Other Names
  • Katy Schwartz

View on SEC IAPD

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