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10 East 53Rd Street 14Th Floor, New York, NY 10022 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2026-08-18 |
Branch Locations
821 5Th Avenue South Suite 102, Naples, FL 34102 • United States
10 East 53Rd Street 14Th Floor, New York, NY 10022 • United States
7 Giralda Farms Suite 300, Madison, NJ 07940 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2022-11-15 |
| NJ | RA | APPROVED | 2019-01-15 |
Branch Locations
821 5Th Avenue South Suite 102, Naples, FL 34102 • United States
7 Giralda Farms Suite 300, Madison, NJ 07940 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Florham Park | NJ | 02/2009 | 01/2019 |
| Transcend Capital Advisors, Llc | Naples | FL | 01/2019 | 07/2026 |
| Purshe Kaplan Sterling Investments | Albany | NY | 01/2019 | 03/2020 |
| Arax Advisory Partners | Naples | FL | 08/2026 | Present |
| Transcend Capital Insurance Services | Naples | FL | 01/2019 | Present |
1. EJD Realty Associates, LLC. Not Investment Related. New Lebanon NY and Bonita Springs FL. Partnership. Member. Start 4/2012. 0 hours during trading. Receive mortgage payments and pays bills. 2. Transcend Wealth Collective Insurance Services - Non-Variable Insurance - Investment Related - Agent - Less than 10% of time Mr. Schwartz's time is spent on this activity.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-12-11 |
| S63 | Uniform Securities Agent State Law Examination | 1994-04-05 |
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