Randy
Swartz

Symphonic Financial Advisors LLC

CRD#736809
Investment Advisor
in New York, NY
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About this Advisor

Randy Swartz is a certified financial planner in New York, New York. Currently an advisor with Symphonic Financial Advisors LLC, Swartz has 11 years of work experience as a financial advisor. Swartz maintains Series 63 and Series 65 licenses, which qualify them as both a securities agent and an investment advisor representative. Swartz is able to operate based out of Texas. During their career, Swartz has held roles at Bbs Technologies, Principal Life Insurance Co, Princor Financial Services Corp, Randy Swartz, Ogsys, High Radius, K Alliance, Cartvertising and The Lab Consulting. Symphonic Financial Advisors LLC is based out of New York, New York, and operates out of 12 offices in the United States. As a registered advisory firm, Symphonic Financial Advisors LLC oversees $132 million in assets throughout 1,541 accounts and retains six staff members. The amount of assets the firm manages makes it one of the mid-sized financial advisory firms in the country. The firm manages 1,475 accounts on a discretionary basis, in which the advisor makes investment decisions at their discretion. None of the advisor firm's 1,541 clients are considered high-net-worth individuals, who are defined as investors who have more than $1 million in capital. Symphonic Financial Advisors LLC offers financial planning services, portfolio management for individuals and small businesses and portfolio management for institutional clients. The firm's fees may include asset-based, hourly and commission-based fees.

Certifications and Registrations

Series 63, Series 65, Certified Financial Planner

Years of Experience

11 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients

Fee Structure

Percentage of Assets, Hourly Charges, Commissions

Disclosures

No

Office Location

400 Park Avenue 10Th Floor
New York, NY 10022

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Symphonic Financial Advisors LLC Brokerage Details

Total Assets Under Management

$122,851,364

NY Average: $7,464,549,021
Total Number of Employees

6

NY Average: 88
Total Number of Accounts

1,325

NY Average: 3,892
Average Account Size

$92,718

NY Average: $1,917,921

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Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients

Randy Swartz Work History

Randy has 11 years of experience.

2015 - 2015 (0 years)

Cartvertising

2014 - 2014 (0 years)

The Lab Consulting

2013 - 2014 (1 years)

High Radius

2012 - 2013 (1 years)

K Alliance

2011 - Present (8 years)

Randy Swartz

2011 - 2012 (1 years)

Ogsys

2009 - 2011 (2 years)

Principal Life Insurance Co

2009 - 2011 (2 years)

Princor Financial Services Corp

2007 - 2009 (2 years)

Bbs Technologies

Disclosures

Randy Swartz has no disclosures.

Please visit their SEC profile for more details.

This content was compiled from the SEC and FINRA.

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