David Eugene Schwartz

Employer firm

Principal Securities, Inc. CRD 1137

$17.0B regulatory AUM 1,717 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

• 08/2010 → 07/2019
  Nylife Securities Llc
  Pleasanton, CA
• 06/2010 → 07/2019
  New York Life Insurance Company
  Pleasanton, CA
• 02/2016 → 07/2019
  Eagle Strategies Llc
  San Ramon, CA
• 07/2019 → Present
  Principal Life Insurance Company
  Lake Oswego, OR
• 07/2019 → Present
  Principal Securities, Inc.
  Lake Oswego, OR

Previous Registrations

• 2016-02-19 → 2019-07-09
  Eagle Strategies Llc
  San Ramon, CA
  Portland, OR
  San Ramon, CA

Other Businesses

***Fixed Insurance; Investment Related; Lake Oswego, OR; Agent; Fixed life, annuity, DI, LTC, Group Benefits; Start Date: 07/01/2019; 2 hrs per month; 2 during trading hours.

Exams

• S65 Uniform Investment Adviser Law Examination
  2016-02-01
• S63 Uniform Securities Agent State Law Examination
  2010-10-14

Designations

• Certified Financial Planner

Other Names

• David Eugene Schwartz
• David Schwartz