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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

Cindy Gail Schwartz

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BOCA RATON, FL

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Search this name across graphsid dfx:ria:7ae35834-a27e-a356-292f-13c1ce89499b

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

Relationships: 10
Dated events: 1
On other graphs: 0
Observed: Apr 10, 2006 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: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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: Dec 17, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 9
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Dec 17, 1997
First registration: Apr 10, 2006
Dual registered: yes, broker-dealer
Other names: CINDY GAIL SCHOENFELD|CINDY GAIL SCHOENFELD|CINDY Gail SCHWARTZ|CINDY G SCHWARTZ|CINDY SCHWARTZ
IAPD individual key: 2439193

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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Nov 30, 2023	n/a	yes	BOCA RATON, FL	Current employment
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	May 3, 2021	Dec 4, 2023	no	BOCA RATON, FL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Nov 28, 2016	Apr 13, 2021	no	DELRAY BEACH, FL	Previous registration
MORGAN STANLEY	Wirehouse	Sep 1, 2016	Nov 7, 2016	no	Boca Raton, FL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Sep 26, 2013	Sep 2, 2016	no	BOCA RATON, FL	Previous registration
STIFEL, NICOLAUS & COMPANY, INCORPORATED	National bd RIA	May 18, 2011	Sep 12, 2013	no	BOCA RATON, FL	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Aug 18, 2009	no	BOCA RATON, FL	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Jan 28, 2009	Jun 1, 2009	no	BOCA RATON, FL	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Oct 2, 2008	Jan 21, 2009	no	BOCA RATON, FL	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Apr 10, 2006	Apr 14, 2008	no	BOCA RATON, FL\|BOCA RATON, FL	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
RAYMOND JAMES & ASSOCIATES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Dec 4, 2023	Nov 30, 2023	-4	Firm change	Ibd to wirehouse
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	RAYMOND JAMES & ASSOCIATES, INC.	Apr 13, 2021	May 3, 2021	20	Firm change	Wirehouse to ibd
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Nov 7, 2016	Nov 28, 2016	21	Firm change	Wirehouse to wirehouse
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MORGAN STANLEY	Sep 2, 2016	Sep 1, 2016	-1	Firm change	Wirehouse to wirehouse
STIFEL, NICOLAUS & COMPANY, INCORPORATED	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Sep 12, 2013	Sep 26, 2013	14	Firm change	Ibd to wirehouse
MORGAN STANLEY	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Aug 18, 2009	May 18, 2011	638	Firm change after gap	Wirehouse to ibd
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY & CO. LLC	Jan 21, 2009	Jan 28, 2009	7	Firm change	Other
UBS FINANCIAL SERVICES INC.	CITIGROUP GLOBAL MARKETS INC.	Apr 14, 2008	Oct 2, 2008	171	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
149777:7691:FL:2016-11-07	Nov 7, 2016	Nov 28, 2016	BOCA RATON, FL	Firm change
7691:149777:FL:2016-09-02	Sep 2, 2016	Sep 1, 2016	BOCA RATON, FL	Firm change

Relationships

Registered with (7)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Nov 28, 2016 to Apr 13, 2021factForm ADV
→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: previous registration
May 3, 2021 to Dec 4, 2023factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Sep 1, 2016 to Nov 7, 2016factForm ADV
→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: previous registration
May 18, 2011 to Sep 12, 2013factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Jan 28, 2009 to Jun 1, 2009factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Oct 2, 2008 to Jan 21, 2009factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Apr 10, 2006 to Apr 14, 2008factForm ADV

Dated events

Occurred
Dec 4, 2023
Advisor changed firm
Cindy Gail Schwartz left Raymond James & Associates, Inc. for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2023-11-30)
Form ADVobserved 6 days ago