Unclaimed Profile

Richard Schwartz

SPECTRUM STRATEGIC CAPITAL MANAGEMENT, LLC·LAKE OSWEGO, Oregon

Series 7, Series 66Clean record22 years registeredSPECTRUM STRATEGIC CAPITAL MANAGEMENT, LLC

5800 MEADOWS ROAD, LAKE OSWEGO, OR 97035-8246CRD# 4340529Firm CRD# 138347

Profile Verification

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

Identity

Richard Schwartz · LAKE OSWEGO, OR

Registration

CRD #4340529 · SPECTRUM STRATEGIC CAPITAL MANAGEMENT, LLC · 22 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: SPECTRUM STRATEGIC CAPITAL MANAGEMENT, LLC

SPECTRUM STRATEGIC CAPITAL MANAGEMENT, LLC

Apr 2006 – Feb 2021

LAKE OSWEGO, OR

1ST GLOBAL ADVISORS INC

Aug 2003 – Apr 2008

CORVALLIS, OR

Registrations & Exams

FINRA examinations passed

Series 7

Series 66

Registration record

First registered · August 25, 2003

Years registered · 22

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

SPECTRUM STRATEGIC CAPITAL MANAGEMENT, LLC

CRD 138347 · SEC 801-65858

AUM

$210M

Regulatory assets under management

Employees

728 client accounts

Services offered by SPECTRUM STRATEGIC CAPITAL MANAGEMENT, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at SPECTRUM STRATEGIC CAPITAL MANAGEMENT, LLC →

Introduction

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Frequently Asked Questions

What services does Richard Schwartz offer?

Richard Schwartz specializes in Financial Planning, Investment Management, Wealth Management.

What are Richard Schwartz's credentials?

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

Where is Richard Schwartz located?

Richard Schwartz is based in LAKE OSWEGO, Oregon, last registered with SPECTRUM STRATEGIC CAPITAL MANAGEMENT, LLC.

How does Richard Schwartz charge for services?

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

How large is SPECTRUM STRATEGIC CAPITAL MANAGEMENT, LLC?

SPECTRUM STRATEGIC CAPITAL MANAGEMENT, LLC has approximately 6 employees and manages $210M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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