James E Schwartz

Employer firm

Equity Services, Inc. CRD 265

$2.78B regulatory AUM 410 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• 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

• 11/2008 → Present
  Equity Services, Inc
  Montpelier, VT

Other Businesses

NPA FINANCIAL, LLC., INV REL, 120 KENNEWYCK CIRCLE SLINGERLANDS NEW YORK 12159. INSURANCE SALES, AGENT, 01/2009-PRESENT,160 HRS PER MO, I AM AN AGENT FOR SEVERAL INSURANCE CO. SELLING LI, DI, HLTH, AND DO SO UNDER THE DBA NPA FINANCIAL,LLC. *LODGES AT CRESTHAVEN, 3210 LAKE SHORE DRIVE, LAKE GEORGE, NY 12845;YES; I OWN A TIME SHARE THAT I RENT OCCASIONALLY; OWNER; IMMEDIATELY; 1 OR LESS; NO; I WILL AUTHORIZE THE PROPERTY MANAGER TO RENT OUR UNIT FOR THAT WEEK. THEY DEDUCT A FEE FOR THIS SERVICE AND FORWARD THE REMAINING RENTAL INCOME; IT HAS NOTHING TO DO WITH ESI AND ITS CLIENTS. *ORANGE LAKE COUNTRY CLUB 8505 W IRLO BRONSON MEMORI HWY, KISSIMMEE, FL 34747-8217; YES; I OWN A TIME SHARE THAT I RENT OCCAISIONALLY; OWNER; CURRENT; 1 OR LESS; NO;I WILL AUTHORIZE THE PROPERTY MANAGER TO RENT OUR UNIT FOR THAT WEEK. THEY DEDUCT A FEE FOR THIS SERVICE AND FORWARD THE REMAINING RENTAL INCOME; IT HAS NOTHING TO DO WITH ESI AND ITS CLIENTS.

Exams

• S63 Uniform Securities Agent State Law Examination
  2008-12-18

Designations

• Certified Financial Planner