Steven Richard Schwarz

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

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

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

Current Employers

Employment History

• 08/2015 → 06/2017
  Suffolk Community College
  Brentwood, NY
• 08/2016 → 12/2016
  American Capital Partners
  Hauppauge, NY
• 12/2016 → 01/2017
  Joseph Gunnar
  Melville, NY
• 04/2018 → 07/2018
  Northwestern Mutual Investment Services Llc
  Melville, NY
• 12/2017 → 01/2018
  American Eagle
  Bay Shore, NY
• 12/2019 → 01/2020
  Jockey
  Deer Park, NY
• 02/2020 → 03/2020
  Applebees
  Farmingdale, NY
• 08/2017 → 01/2020
  Suny Binghamton
  Binghamton, NY
• 07/2020 → 10/2020
  Equitable Advisors, Llc
  New York, NY
• 04/2020 → 06/2020
  Unemployed
  Babylon, NY
• 07/2017 → 08/2017
  Unemployed
  Babylon, NY
• 01/2021 → 06/2022
  Independent Brokerage Solutions Llc
  New York, NY
• 01/2021 → 06/2022
  Masterworks Investor Services, Llc
  New York, NY
• 10/2020 → 10/2020
  Argyle Grill And Tavern
  West Babylon, NY
• 11/2020 → 11/2020
  Crunch Fitness
  West Babylon, NY
• 12/2020 → 01/2021
  La Familia Restaurant
  Babylon, NY
• 12/2020 → 01/2021
  Inzone Logistics
  Bethpage, NY
• 03/2022 → 10/2022
  Arete Wealth Advisors, Llc
  Chicago, IL
• 10/2022 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY

Previous Registrations

• 2022-03-14 → 2022-06-15
  Arete Wealth Advisors, Llc
  New York, NY
• 2020-08-03 → 2020-10-05
  Equitable Advisors, Llc
  Melville, NY

Other Businesses

I*5080267, Entity Type, Name of OBA: S FAMILY TRUST Address: BABYLON New York 11702 Investment Related:No Position, Title, Association: Trustee Employee Start Date: 04/29/2026 No Hours: 5 Yearly No Hours during trading: 0 Duties:

Exams

• S66 Uniform Combined State Law Examination
  2019-06-25
• S63 Uniform Securities Agent State Law Examination
  2016-10-28

Other Names

• Steven Schwarz
• Steven Richard Schwarz
• Steven Schwarz
• Steven R Schwarz