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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

HARVEY THEO SCHWARTZ

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Georgetown, TX | ALPHARETTA, GA

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Search this name across graphsid dfx:ria:643271de-99f1-e760-3f9b-9d3ae15474cb

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Oct 20, 2004 to Sep 15, 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: AMERIPRISE FINANCIAL SERVICES, LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 5, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Aug 5, 1994
First registration: Oct 20, 2004
Dual registered: yes, broker-dealer
Other names: HARVEY THEO SWARTZ
IAPD individual key: 2498580

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
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Feb 6, 2020	n/a	yes	ALPHARETTA, GA\|Georgetown, TX	Current employment
FSC SECURITIES CORPORATION	Former SEC adviser	Feb 11, 2015	Dec 31, 2019	no	ATLANTA, GA\|ATLANTA, GA\|AUSTIN, TX	Previous registration
TRIAD ADVISORS, LLC	Former SEC adviser	Feb 9, 2010	Dec 31, 2014	no	ATLANTA, GA\|ATLANTA, GA	Previous registration
FIRST LEGACY SECURITIES, LLC	n/a	Oct 29, 2009	Feb 18, 2010	no	ATLANTA, GA\|HELENA, AL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 20, 2004	Oct 20, 2009	no	ALPHARETTA, GA\|ALPHARETTA, GA	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
FSC SECURITIES CORPORATION	AMERIPRISE FINANCIAL SERVICES, LLC	Dec 31, 2019	Feb 6, 2020	37	Firm change	Ibd to ibd
TRIAD ADVISORS, LLC	FSC SECURITIES CORPORATION	Dec 31, 2014	Feb 11, 2015	42	Firm change	Other
FIRST LEGACY SECURITIES, LLC	TRIAD ADVISORS, LLC	Feb 18, 2010	Feb 9, 2010	-9	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	FIRST LEGACY SECURITIES, LLC	Oct 20, 2009	Oct 29, 2009	9	Firm change	Other

Relationships

Registered with (5)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Feb 6, 2020 to presentfactForm ADV
→ FSC SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Feb 11, 2015 to Dec 31, 2019factForm ADV
→ TRIAD ADVISORS, LLCRegistered adviserregistration: previous registration
Feb 9, 2010 to Dec 31, 2014factForm ADV
→ FIRST LEGACY SECURITIES, LLCRegistered adviserregistration: previous registration
Oct 29, 2009 to Feb 18, 2010factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 20, 2004 to Oct 20, 2009factForm ADV

Dated events

No dated event names this entity yet.