Haley Schwartz has been Owner and Chief Compliance Officer of ARX Private Wealth since February 2026, is a control person of the firm and directly owns between 10% and 25% of it. Haley Schwartz holds a Bachelor of Science in Management from Penn State University.
Arx Private Wealth is a Lancaster, PA firm with $114M under management, 27 clients and 5 advisers in one office, as of its February 2026 filing.
Haley M. Schwartz is Partner, Head of Wealth Advisory of ARX Private Wealth. She leads complex wealth planning initiatives and provides strategic direction to the Wealth Advisory Team. She has more than 15 years of experience in financial planning, working with business owners, high-net-worth individuals and families. She is secretary of the Lancaster Estate Planning Council and a member of the American Business Women's Association's Penn Square Chapter.
Haley Schwartz’s longest registration was 7 years at RKL Private Wealth (2019–2026). Before joining ARX Private Wealth in 2026, Haley Schwartz was registered through RKL Private Wealth and RKL Wealth Management LLC.
- Arx Private WealthCurrent– present · under a yearLancaster, PA · Adviser representative · Firm CRD 338631
- RKL Private Wealth– · 7 yearsLancaster, PA · Adviser representative · Firm CRD 122693
- RKL Wealth Management LLC– · 1 yearLancaster, PA · Adviser representative · Firm CRD 122693
- Prudential Financial Planning Services– · 4 yearsYork, PA · Adviser representative · Firm CRD 5685
Professional designations
Listed by ARX Private Wealth
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
- Retirement Income Certified Professional (RICP®)
Investment adviser representative registrations
Haley Schwartz is registered as an investment adviser representative in Pennsylvania, since February 2026.
- PennsylvaniaSince 23 February 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 7 | General Securities Representative Examination | 25 August 2016 |
| Series 65 | Uniform Investment Adviser Law Examination | 4 April 2013 |
| Series 63 | Uniform Securities Agent State Law Examination | 2 March 2012 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 17 February 2012 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Haley Marie Schwartz
- CRD
- 6022987
- Firm
- ARX Private Wealth · CRD 338631
- Role
- Owner and Chief Compliance Officer
- Office
- 1891 Santa Barbara Drive, Suite 206, Lancaster, PA 17601
- Registration
- Investment adviser registration
- In the industry since
- April 2012
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- arxprivatewealth.com
Where does Haley Schwartz work?
Haley Schwartz has been Owner and Chief Compliance Officer of Arx Private Wealth since February 2026, and is a control person of the firm.
Is Haley Schwartz a financial advisor?
Yes. Haley Schwartz has a current investment-adviser registration in Pennsylvania, through ARX Private Wealth since February 2026.
How many years of experience does Haley Schwartz have?
Haley Schwartz has 14 years in the financial industry, since April 2012, across 3 adviser firms.
What exams has Haley Schwartz passed?
Haley Schwartz has passed 4 licensing exams: the Series 6, Series 63, Series 65 and Series 7. The earliest, the Series 6, was passed in February 2012. FINRA credited Haley Schwartz with the SIE, which began in October 2018.
Where did Haley Schwartz work before ARX Private Wealth?
Before ARX Private Wealth, Haley Schwartz was registered through RKL Private Wealth, January 2019 to February 2026; RKL Wealth Management LLC, August 2017 to December 2018; Prudential Financial Planning Services, April 2013 to July 2017.
Where is Haley Schwartz based?
Haley Schwartz’s registered office is in Lancaster, PA.
Is Haley Schwartz registered with FINRA?
No. Haley Schwartz has no current broker registration.
Is Haley Schwartz a CFP?
ARX Private Wealth lists Haley Schwartz with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify Haley Schwartz’s record?
Search CRD 6022987 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Haley Schwartz’s full registration record.
