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Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-01-21
NY RA APPROVED 2023-05-01
  • TX RA
    APPROVED_RES
    Since 2025-01-21
  • NY RA
    APPROVED
    Since 2023-05-01

Branch Locations

777 Third Avenue 20Th Floor, New York, NY 10017-1401 • United States

3105 Quentin Rd, Brooklyn, NY 11234-4234 • United States

98 Cuttermill Rd Ste 248 S, Great Neck, NY 11021-3010 • 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
OrganizationCityStateFromTo
Schwartz Accounting Inc Brooklyn NY 01/1980 04/2023
Royal Alliance Associates, Inc. Brooklyn NY 06/1998 10/2019
Schwartz Consulting, Llc Brooklyn NY 01/1995 04/2023
3105 Quentin Llc Brooklyn NY 01/2007 04/2023
2214 Coleman Llc Brooklyn NY 01/2007 04/2023
Cetera Advisor Networks El Segundo CA 10/2019 04/2023
Ameriprise Financial Services Hicksville NY 04/2023 04/2023
Ameriprise Financial Services, Llc Great Neck NY 03/2020 03/2020
Ameriprise Financial Services, Llc. Great Neck NY 04/2023 Present
  • 01/1980 → 04/2023
    Schwartz Accounting Inc
    Brooklyn, NY
  • 06/1998 → 10/2019
    Royal Alliance Associates, Inc.
    Brooklyn, NY
  • 01/1995 → 04/2023
    Schwartz Consulting, Llc
    Brooklyn, NY
  • 01/2007 → 04/2023
    3105 Quentin Llc
    Brooklyn, NY
  • 01/2007 → 04/2023
    2214 Coleman Llc
    Brooklyn, NY
  • 10/2019 → 04/2023
    Cetera Advisor Networks
    El Segundo, CA
  • 04/2023 → 04/2023
    Ameriprise Financial Services
    Hicksville, NY
  • 03/2020 → 03/2020
    Great Neck, NY
  • 04/2023 → Present
    Great Neck, NY
Previous Registrations
  • 2021-03-31 → 2023-05-04
    Cetera Wealth Services, Llc
    Hicksville, NY
Other Businesses

Business Ownership; Schwartz Accounting Inc.; Co-owner; Tax Preparation; 3105 Quentin Rd, , Brookyln, NY, 11234; Not Investment-Related; 01/01/1989; 60 hours per month; 60 during trading hours / 3103 q llc; Co-owner; Real Estate; 3103 Quentin Road, , Brooklyn, NY, 11234; Not Investment-Related; 12/01/2022; 1 to 9 hours per month; 0 during trading hours / 2214 coleman llc; Co-owner; Real Estate; 2214 Coleman street, , brooklyn, NY, 11234; Not Investment-Related; 02/04/2016; 1 to 9 hours per month; 0 during trading hours. Outside Employment; Schwartz Accounting Inc.; Co-owner; Tax Preparation; 3105 Quentin Rd, , Brooklyn, NY, 11234; Not Investment-Related; 01/01/1989; 60 hours per month; 60 during trading hours.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1995-12-15
  • S63 Uniform Securities Agent State Law Examination
    1995-12-15
Designations
Other Names
  • Michael W Schwartz
  • Michael Schwartz
  • Michael Wayne Schwartz

View on SEC IAPD

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