Katharine Schwartz has been an investment adviser representative at Arbor Financial Services since May 2025, and is not listed among the firm’s executive officers or direct owners. Katharine Schwartz studied at Idaho State University.
Arbor Financial Services, LLC is a Downers Grove, IL firm with $122M under management, 240 clients and 3 advisers in one office, as of its February 2026 filing.
Katie Schwartz is President & Wealth Manager of Arbor Financial Services, LLC. She joined the firm as General Manager of Operations and gained the skills and knowledge needed to become a licensed wealth manager. Her current position combines President of Operations with wealth management. She came to the firm from the sports and fitness industry with a background in management.
- – present · 1 yearDowners Grove, IL · Adviser representative · Firm CRD 150713
Investment adviser representative registrations
Katharine Schwartz is registered as an investment adviser representative in Illinois, since May 2025.
- IllinoisSince 13 May 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 12 May 2025 |
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Katharine Augusta Schwartz
- CRD
- 8093546
- Firm
- Arbor Financial Services · CRD 150713
- Office
- 2001 BUTTERFIELD ROAD, SUITE 500, Downers Grove, IL 60515
- Registration
- Investment adviser registration
- In the industry since
- May 2025
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- arborfinancialservices.com
Where does Katharine Schwartz work?
Katharine Schwartz is an investment adviser representative registered through Arbor Financial Services, LLC since May 2025, and is not listed among the firm’s executive officers or direct owners.
Is Katharine Schwartz a financial advisor?
Yes. Katharine Schwartz has a current investment-adviser registration in Illinois, through Arbor Financial Services since May 2025.
How many years of experience does Katharine Schwartz have?
Katharine Schwartz has 1 year in the financial industry, since May 2025, across 1 adviser firm.
What exams has Katharine Schwartz passed?
Katharine Schwartz passed the Series 65 in May 2025.
Where is Katharine Schwartz based?
Katharine Schwartz’s registered office is in Downers Grove, IL.
Is Katharine Schwartz registered with FINRA?
No. Katharine Schwartz has no current broker registration.
How can I verify Katharine Schwartz’s record?
Search CRD 8093546 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Katharine Schwartz’s full registration record.
