Michael Richard Schwartz

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

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

Current Employers

Employment History

• 12/2015 → 11/2017
  Investment Centers Of America, Inc.
  White Bear Lake, MN
• 11/2017 → 05/2019
  Lpl Financial Llc
  White Bear Lake, MN
• 05/2019 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 03/2017 → Present
  Eastwood Wayne, Llc
  Woodbury, MN
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 06/2024 → Present
  Usa Hockey
  Woodbury, MN

Previous Registrations

• 2017-11-29 → 2019-05-17
  Lpl Financial Llc
  White Bear Lake, MN
• 2015-12-23 → 2017-11-29
  Investment Centers Of America, Inc.
  White Bear Lake, MN
• 2014-01-17 → 2016-01-04
  Principal Securities, Inc.
  Minnetonka, MN
  Lake Elmo, MN

Other Businesses

(1) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 5/2019 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, LONG TERM CARE AND MEDICAL/GROUP; (2) NAME OF OTHER BUSINESS: ADVISORNET FINANCIAL, INC. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 5/2019 POSITION/TITLE/RELATIONSHIP: REGISTERED REPRESENTATIVE APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: REGISTERED REPRESENTATIVE ; (3) NAME OF OTHER BUSINESS: EASTWOOD WAYNE, LLC INVESTMENT RELATED: NO ADDRESS: 6164 OAKWOOD ROAD, WOODBURY, MN 55125 NATURE OF BUSINESS: TRANSPORTATION START DATE: 3/2017 POSITION/TITLE/RELATIONSHIP: PRESIDENT APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 5 BRIEF DESCRIPTION OF DUTIES: COORDINATES TRANSPORATION AND HOTELS FOR GROUPS ; (4) NAME OF OTHER BUSINESS: EASTWOOD FINANCIAL LLC INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINANCIAL SERVICES ; POSITION/TITLE/RELATIONSHIP: PRESIDENT / FINANCIAL ADVISOR START DATE: 01/2020 ; APX NUMBER OF HOURS PER WEEK: 60 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: ADVISORY, RETIREMENT PLANS, VARIABLE INSURANCE PRODUCTS ; (5) NAME OF OTHER BUSINESS: NOTARY PUBLIC COMMISSION; INVESTMENT RELATED: NO ; ADDRESS: SAME AS RESIDENTIAL LOCATION ; NATURE OF BUSINESS: NOTARIZING DOCUMENTS ; START DATE: 04/2022; POSITION/TITLE/RELATIONSHIP: NOTARY ; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: NOTARIZING DOCUMENTS ; (6) NAME OF OTHER BUSINESS: USA HOCKEY INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TRAINING HOCKEY COACHES. START DATE: 6/1/2024 POSITION/TITLE/RELATIONSHIP: COACH DEVELOPMENT APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 2 BRIEF DESCRIPTION OF DUTIES: TRAIN COACHES THOUGHT THE USA HOCKEY COACHES PROGRAM (7) NAME OF OTHER BUSINESS: EASTWOOD HOCKEY LLC INVESTMENT RELATED: N ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: HOCKEY COACH CONSULTING START DATE: 10/2026 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: CONSULTING WITH YOUTH HOCKEY GROUPS AND INDIVIDUALS FOR COACHING PROGRAMS.

Exams

• S63 Uniform Securities Agent State Law Examination
  2008-07-03