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RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

DANIEL S. SCHWARTZ

Advisor at MORGAN STANLEY

New York, NY | Fort Lauderdale, FL

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: May 9, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MORGAN STANLEY
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 4, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 4
Exams: S63|S65
First exam: Feb 4, 1988
First registration: May 9, 2002
Dual registered: yes, broker-dealer
Other names: CDDAN SCHWARTZ|DAN SCHWARTZ|DANIEL SHELDON SCHWARTZ
IAPD individual key: 1777043

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MORGAN STANLEY	Wirehouse	Sep 6, 2024	n/a	yes	Fort Lauderdale, FL\|New York, NY	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Jul 12, 2012	Sep 17, 2024	no	NEW YORK, NY\|PARAMUS, NJ\|New York, NY\|NEW YORK, NY\|NEW YORK, NY\|Ft. Lauderdale, FL	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Jul 17, 2012	no	Paramus, NJ	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	RIDGEWOOD, NJ	Previous registration
MORGAN STANLEY DW INC.	n/a	May 26, 2006	Apr 2, 2007	no	RIDGEWOOD, NJ	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	May 9, 2002	Jun 8, 2006	no	PARAMUS, NJ\|PARAMUS, NJ\|PARAMUS, NJ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
UBS FINANCIAL SERVICES INC.	MORGAN STANLEY	Sep 17, 2024	Sep 6, 2024	-11	Firm change	Wirehouse to wirehouse
MORGAN STANLEY	UBS FINANCIAL SERVICES INC.	Jul 17, 2012	Jul 12, 2012	-5	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY DW INC.	Jun 8, 2006	May 26, 2006	-13	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
8174:149777:FL:2024-09-17	Sep 17, 2024	Sep 6, 2024	FT LAUDERDALE, FL	Firm change

Relationships

Registered with (5)

→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Jul 17, 2012factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jul 12, 2012 to Sep 17, 2024factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
May 26, 2006 to Apr 2, 2007factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
May 9, 2002 to Jun 8, 2006factForm ADV

Dated events

Occurred
Sep 17, 2024
Advisor changed firm
Daniel S. Schwartz left Ubs Financial Services Inc. for Morgan Stanley (registered 2024-09-06)
Form ADVobserved 6 days ago