Wayne Norman Schwartz

Current Employers

Strategic Financial Concepts, Llc

901 Ne Loop 410 Suite 100, San Antonio, TX 78209 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2011-06-17

TX RA
APPROVED

Since 2011-06-17

Branch Locations

Austin, TX • United States

Disclosures

2 disclosure categories 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 Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
Self Employed Life Insurance Agent	Austin	TX	01/1976	Present
Strategic Financial Concepts	Austin	TX	06/2011	Present

01/1976 → Present

Self Employed Life Insurance Agent

Austin, TX
06/2011 → Present

Strategic Financial Concepts

Austin, TX

Previous Registrations

2009-01-20 → 2011-06-01

Choice Advisory Group, Inc.

Austin, TX
2007-08-24 → 2008-11-13

Strategic Financial Concepts, Llc

San Antonio, TX
2004-04-08 → 2007-08-29

Transamerica Financial Advisors, Llc

Austin, TX

Other Businesses

CAPITAL RETIREMENT PLANNING GROUP (DBA) INDEPENDENT INS AGENT. 3604 CASSAVA DRIVE AUSTIN TX 78746. INVEST-RELATED; YES, AGENT, 1/76. SALES. PART OF DAILY ACTIVITIES.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2004-01-06
S63	Uniform Securities Agent State Law Examination	1995-01-25

S65 Uniform Investment Adviser Law Examination

2004-01-06
S63 Uniform Securities Agent State Law Examination

1995-01-25

Other Names

Wayne Norman Schwartz

View on SEC IAPD