Leslie F Schwartz

Employer firm

Rbc Capital Markets, LLC CRD 31194

$310B regulatory AUM 1,893 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

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

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

Current Employers

Employment History

• 11/2009 → 10/2020
  J.P Morgan Securities Inc.
  New York, NY
• 10/2010 → 10/2020
  Jpmorgan Chase Bank, N.A.
  New York, NY
• 10/2020 → Present
  Rbc Capital Markets, Llc
  New York, NY
• 11/2020 → Present
  City National Bnak
  New York, NY

Other Businesses

NAME OF ENTITY: The Jefferson Condominium ADDRESS: 211 East 13th Street, New York, NY 10003 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Small Private START DATE: 02.20.25 CAPACITY: Board of Directors DUTIES: i am an owner of 10 years of my home in this building and have been nominated to serve on its board HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-05-14
• S63 Uniform Securities Agent State Law Examination
  1984-05-23

Other Names

• Leslie Froehlich Schwartz