Lawrence Elliot Schwartz

Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

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

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

Current Employers

Employment History

• 02/2013 → 11/2016
  Wells Fargo Advisors
  Albuquerque, NM
• 11/2016 → Present
  Wells Fargo Clearing Services, Llc
  Albuquerque, NM

Previous Registrations

• 2009-06-01 → 2013-02-28
  Morgan Stanley
  Albuquerque, NM
• 2008-08-01 → 2009-06-01
  Morgan Stanley & Co. Llc
  Albuquerque, NM
• 1988-08-24 → 2008-08-07
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Albuquerque, NM

Other Businesses

MOSES ON THE MESA, LLC, NOT INVT RELATED, ALBUQUERQUE, NM, 20% OWNERSHIP, START DATE 8/1/2020, 10 HRS PER MONTH, 0 HRS DURING TRADING, MAKE INTRODUCTIONS OF ACTORS AND PRODUCERS.

Exams

• S65 Uniform Investment Adviser Law Examination
  2013-12-28
• S63 Uniform Securities Agent State Law Examination
  1986-07-18