Unclaimed Profile

Harold Alan Schwartz

DMK ADVISOR GROUP, INC.·LUTZ, Florida

SIE, Series 1, Series 7, Series 24, Series 63, Series 66, Series 99TO20 years registeredDMK ADVISOR GROUP, INC.

17961 HUNTING BOW CIRCLE, LUTZ, FL 33558CRD# 841225Firm CRD# 41067

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Harold Alan Schwartz · LUTZ, FL

Registration

CRD #841225 · DMK ADVISOR GROUP, INC. · 20 years registered

Brand Profile

Not yet started

Career History

DMK ADVISOR GROUP, INC.

Jan 2022 – present

COMPASS FINANCIAL MANAGEMENT LLC

May 2021 – present

DMK ADVISOR GROUP, INC.

Feb 2019 – present

DMK ADVISOR GROUP, INC.

Feb 2019 – Dec 2021

Winter Springs, FL

STEPHEN A. KOHN & ASSOCIATES, LTD.

Feb 2019 – Feb 2019

Winter Springs, FL

ROYAL ALLIANCE ASSOCIATES, INC.

Nov 2017 – Feb 2019

LUTZ, FL

NEW CENTURY FINANCIAL GROUP, LLC

Jul 2015 – Apr 2018

LITTLETON, CO

ROYAL ALLIANCE ASSOCIATES, INC.

Jun 2015 – Jul 2015

LUTZ, FL

TLG ADVISORS, INC.

Mar 2006 – Jul 2015

LITTLETON, CO

Registrations & Exams

FINRA examinations passed

SIE

Series 1

Series 7

Series 24

Series 63

Series 66

Series 99TO

Registration record

First registered · March 9, 2006

Years registered · 20

Disclosure History

2020Customer Dispute·Denied

2019Employment Separation After Allegations

2019Regulatory·Final

2018Customer Dispute·Settled

2001Customer Dispute·Settled

5 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

DMK ADVISOR GROUP, INC.

CRD 41067 · SEC 801-121389

AUM

$81M

Regulatory assets under management

Employees

462 client accounts

Services offered by DMK ADVISOR GROUP, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at DMK ADVISOR GROUP, INC. →

Introduction

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Frequently Asked Questions

What services does Harold Alan Schwartz offer?

Harold Alan Schwartz specializes in Financial Planning, Investment Management. Contact their office in LUTZ, Florida for a consultation.

What are Harold Alan Schwartz's credentials?

Harold Alan Schwartz is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Harold Alan Schwartz located?

Harold Alan Schwartz is based in LUTZ, Florida, working with DMK ADVISOR GROUP, INC.. Their office serves clients in the LUTZ metropolitan area and surrounding communities.

How does Harold Alan Schwartz charge for services?

Harold Alan Schwartz's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is DMK ADVISOR GROUP, INC.?

DMK ADVISOR GROUP, INC. has approximately 33 employees and manages $81M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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