Dennis Fredrick Schwartz

Current Employers

Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2007-09-20
OH	RA	APPROVED	2005-10-11

TX RA
APPROVED_RES

Since 2007-09-20
OH RA
APPROVED

Since 2005-10-11

Branch Locations

3300 Enterprise Parkway Suite 200, Beachwood, OH 44122 • United States

Disclosures

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.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Raymond James & Associates	Cleveland	OH	09/2005	Present
Newman & Company Cpa'S	Cleveland	OH	05/2011	09/2019

09/2005 → Present

Raymond James & Associates

Cleveland, OH
05/2011 → 09/2019

Newman & Company Cpa'S

Cleveland, OH

Previous Registrations

2005-10-06 → 2005-10-24

Keybanc Capital Markets Inc.

Pepper Pike, OH

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2005-09-09
S63	Uniform Securities Agent State Law Examination	1993-04-27

S65 Uniform Investment Adviser Law Examination

2005-09-09
S63 Uniform Securities Agent State Law Examination

1993-04-27

Other Names

Dennis Frederick Schwartz

View on SEC IAPD

Current Employers

Raymond James & Associates, Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews