Harvey Theo Schwartz

Employer firm

Ameriprise Financial Services, LLC CRD 6363

$660B regulatory AUM 124,349 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

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

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

Current Employers

Employment History

• 01/2015 → 01/2020
  Fsc Securities Corp
  Atlanta, GA
• 01/2020 → 03/2020
  Ameriprise Financial Services Inc
  Alpharetta, GA
• 03/2020 → Present
  Ameriprise Financial Services, Llc
  Fort Myers, FL

Previous Registrations

• 2015-02-11 → 2019-12-31
  Fsc Securities Corporation
  Atlanta, GA
  Atlanta, GA
  Austin, TX
• 2010-02-09 → 2014-12-31
  Triad Advisors Llc
  Atlanta, GA
  Atlanta, GA
• 2009-10-29 → 2010-02-18
  First Legacy Securities, Llc
  Atlanta, GA
  Helena, AL
• 2004-10-20 → 2009-10-20
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Alpharetta, GA
  Alpharetta, GA

Exams

• S65 Uniform Investment Adviser Law Examination
  2005-05-02
• S63 Uniform Securities Agent State Law Examination
  1994-08-05

Other Names

• Harvey Theo Swartz