Unclaimed Profile

David Howard Schwartz

EXCELSIOR OPPORTUNITY ADVISORS LLC·LAKE SUCCESS, New York

SIE, Series 6, Series 22, Series 26, Series 39, Series 51, Series 99TOCFP7 years registeredEXCELSIOR OPPORTUNITY ADVISORS LLC

3 DAKOTA DRIVE, LAKE SUCCESS, NY 11042CRD# 1094495Firm CRD# 163123

Profile Verification

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

Identity

David Howard Schwartz · LAKE SUCCESS, NY

Registration

CRD #1094495 · EXCELSIOR OPPORTUNITY ADVISORS LLC · 7 years registered

Brand Profile

Not yet started

Career History

CAPTRUST

Dec 2018 – present

CAPFINANCIAL SECURITIES, LLC.

Oct 2018 – present

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 22

Series 26

Series 39

Series 51

Series 99TO

Registration record

First registered · October 31, 2018

Years registered · 7

Professional designation · CFP

Disclosure History

1989Regulatory·Final

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD. Resolutions may have changed since.

Introduction

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Frequently Asked Questions

What services does David Howard Schwartz offer?

David Howard Schwartz is a registered financial advisor in LAKE SUCCESS, New York. Contact their office for details on services offered.

What are David Howard Schwartz's credentials?

David Howard Schwartz holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.

Where is David Howard Schwartz located?

David Howard Schwartz is based in LAKE SUCCESS, New York, working with EXCELSIOR OPPORTUNITY ADVISORS LLC. Their office serves clients in the LAKE SUCCESS metropolitan area and surrounding communities.

How large is EXCELSIOR OPPORTUNITY ADVISORS LLC?

EXCELSIOR OPPORTUNITY ADVISORS LLC is a registered investment adviser with the SEC. See their Form ADV for full details.

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