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Seth Howard Schwartz

Investment Adviser Representative at KCD FINANCIAL, INC.

Green Bay, WICRD #2366063Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
30 yrs
States Registered
2 states
Exams Passed
14

Registrations & licenses

Registration type
Dual-registered
Registered in 2 states
CaliforniaWyoming
Examinations passed
Series 7
General Securities Representative Examination
Passed 1/2/2023
Series 65
Uniform Investment Adviser Law Examination
Passed 3/12/1999
Series 63
Uniform Securities Agent State Law Examination
Passed 5/24/1996
Series 52
Municipal Securities Representative Examination
Passed 9/25/2025
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 31
Futures Managed Funds Examination
Passed 8/3/1993
Series 7
General Securities Representative Examination
Passed 7/20/1993
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 1/2/2023
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 1/2/2023
Series 53
Municipal Securities Principal Examination
Passed 2/18/1998
Series 4
Registered Options Principal Examination
Passed 5/6/1997
Series 14
Compliance Officer Examination
Passed 4/25/1997
Series 8
General Securities Sales Supervisor Examination (Options Module & General Module)
Passed 12/9/1996
Series 24
General Securities Principal Examination
Passed 11/11/1996

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
Up to $100,0002.50%
$100,000 to $500,0001.50%
$500,000 to $1,000,0000.75%
Above $1,000,0000.50%
Account minimum: $25,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

KCD Financial, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

KCD FINANCIAL, INC.Current
5/9/2017Green Bay, WI
KCD FINANCIAL, INC.Current
6/24/2010Green Bay, WI
TURNER CAPITAL INVESTMENTS, LLC
4/27/20105/4/2017Encinitas, CA
MADISON AVENUE ADVISORS, INC.
3/9/20066/15/2015San Diego, CA
CENTARA CAPITAL MANAGEMENT GROUP, INC.
2/17/20146/30/2014San Diego, CA
INDEPENDENT FINANCIAL GROUP, LLC
10/21/200511/18/2005San Diego, CA
INDEPENDENT FINANCIAL GROUP, LLC
6/16/200310/21/2005San Diego, CA
SENTRA SECURITIES CORP
4/22/20022/24/2003San Diego, CA
SPELMAN & CO INC
4/22/20022/24/2003San Diego, CA
SUNAMERICA SECURITIES, INC.
4/5/20022/24/2003Phoenix, AZ

Official records & sources

Data as of August 11, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Seth Howard Schwartz has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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