Harold Schwartz has been an investment adviser representative at Compass Financial Management since May 2021, and is not listed among the firm’s executive officers or direct owners.
Compass Financial Management LLC is a Tampa, FL firm with $894M under management, 2,228 clients and 31 advisers across 37 offices, as of its May 2026 filing.
Harold Schwartz’s longest registration was 9 years at TLG Advisors, Inc. (2006–2015). Before joining Compass Financial Management in 2021, Harold Schwartz was registered through Stephen A. Kohn & Associates, LTD. and Royal Alliance Associates, Inc.
- – present · 5 yearsLutz, FL · Adviser representative · Firm CRD 156345
- DMK Advisor Group, Inc.Also current– present · 7 yearsAdviser representative and broker · Firm CRD 41067
- Stephen A. Kohn & Associates, LTD.– · under a yearWinter Springs, FL · Adviser representative · Firm CRD 41067
- Royal Alliance Associates, Inc.– · 1 yearLutz, FL · Adviser representative · Firm CRD 23131
- New Century Financial Group, LLC– · 2 yearsLittleton, CO · Adviser representative · Firm CRD 104553
- Royal Alliance Associates, Inc.– · under a yearLutz, FL · Adviser representative · Firm CRD 23131
- TLG Advisors, Inc.– · 9 yearsLittleton, CO · Adviser representative · Firm CRD 111052
Investment adviser representative registrations
Harold Schwartz is registered as an investment adviser representative in 16 states, as a resident of Texas. The first approvals date from May 2021; the most recent is New Jersey, in October 2026.
- AlaskaSince 15 February 2023
- CaliforniaSince 10 November 2022
- ColoradoSince 10 May 2021
- FloridaSince 25 May 2021
- GeorgiaSince 28 July 2025
- IllinoisSince 13 August 2025
- KansasSince 31 October 2024
- LouisianaSince 14 November 2022
- MissouriSince 4 February 2022
- New JerseySince 8 October 2026
- OregonSince 30 July 2025
- Puerto RicoSince 14 January 2022
- South CarolinaSince 29 July 2025
- TennesseeSince 10 November 2022
- TexasResidentSince 4 January 2022
- UtahSince 6 October 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 99TO | Operations Professional Examination | 20 May 2025 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 25 February 2005 |
| Series 24 | General Securities Principal Examination | 6 January 2005 |
| Series 63 | Uniform Securities Agent State Law Examination | 12 August 1983 |
| PC | AMEX Put and Call Exam | 26 May 1983 |
| Series 7 | General Securities Representative Examination | 21 May 1983 |
| Series 1 | Registered Representative Examination | 28 July 1977 |
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- AMEX Put and Call Exam
- Name
- General Securities Representative Examination
- Name
- Registered Representative Examination
- Full name
- Harold Alan Schwartz
- CRD
- 841225
- Firm
- Compass Financial Management · CRD 156345
- Office
- 17961 Hunting Bow Circle, Suite 102, Lutz, FL 33558
- Registration
- Investment adviser and broker registrations
- In the industry since
- December 1980
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Harold Schwartz work?
Harold Schwartz is an investment adviser representative registered through Compass Financial Management LLC since May 2021, and is not listed among the firm’s executive officers or direct owners.
Is Harold Schwartz a financial advisor?
Yes. Harold Schwartz has a current investment-adviser registration in Alaska, California, Colorado, Florida, Georgia, Illinois, Kansas, Louisiana, Missouri, New Jersey, Oregon, Puerto Rico, South Carolina, Tennessee, Texas and Utah, through Compass Financial Management since May 2021.
How many years of experience does Harold Schwartz have?
Harold Schwartz has 45 years in the financial industry, since December 1980, across 5 adviser firms.
What exams has Harold Schwartz passed?
Harold Schwartz has passed 7 licensing exams: the Series 1, Series 7, PC, Series 63, Series 24, Series 66 and Series 99TO. The earliest, the Series 1, was passed in July 1977. FINRA credited Harold Schwartz with the SIE, which began in October 2018.
Where did Harold Schwartz work before Compass Financial Management?
Before Compass Financial Management, Harold Schwartz was registered through Stephen A. Kohn & Associates, LTD., February 2019 to February 2019; Royal Alliance Associates, Inc., November 2017 to February 2019; New Century Financial Group, LLC, July 2015 to April 2018; Royal Alliance Associates, Inc., June 2015 to July 2015; TLG Advisors, Inc., March 2006 to July 2015.
Where is Harold Schwartz based?
Harold Schwartz’s registered office is in Lutz, FL.
Is Harold Schwartz registered with FINRA?
Yes. Harold Schwartz has a current broker registration, under CRD 841225.
Source: FINRA BrokerCheck
How can I verify Harold Schwartz’s record?
Search CRD 841225 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Harold Schwartz’s full registration record.
- Matthew MarkowskiDirector/CCO/Managing Member
- Michael MarkowskiDirector/Managing Member
- Christopher MarkowskiDirector/Managing Member