Mr. Schwartz has knowledge gained from experience and an extensive education in investment planning. Along with a business degree from San Diego State University, he has earned some of the most comprehensive respected designations available in the industry, CERTIFIED FINANCIAL PLANNER™(CFP®) and Chartered Financial Consultant®(ChFC®).
He has met the stringent criteria and completed the necessary training required to earn the firm's PIM® Portfolio Manager designation.
The CFP® designation is considered one of the most recognized certifications in the financial services industry. CFP® professionals have completed extensive training and experience requirements and are held to rigorous ethical standards.
The ChFC® designation has been in existence for almost thirty years and currently requires nine college-level courses. The ChFC® has one of the most extensive educational programs required of any financial services credential. Required courses cover thorough education and application training on all aspects of financial planning, including income taxation, investments, and estate and retirement planning.
Only a select group of financial advisors have earned the PIM® Portfolio Manager designation that is a reflection of experience and other minimum criteria. Floyd was named a Wells Fargo Advisors Financial Network Premier Advisor in 2019. The Premier Advisor distinction is held by a select group of Financial Advisors within Wells Fargo Advisors Financial Network as measured by completion of educational components, business production based on either of the past two years, and professionalism. Additional criteria, including length of service, may also be used to determine recipients.
Mr. Schwartz believes that any foundation must be built on trust and integrity. While developing an investment plan, he takes special care of his clients to help ensure that every possible detail is addressed. He has been honored as "Five Star Wealth Manager" in 2012, 2013, 2014, 2015, 2017, 2018, 2019, 2020 and 2021*
Floyd "Buck" Schwartz has been happily married for 26 years. He has two sons, who have provided a great deal of fun and enjoyment living in Corona del Mar, California. They love spending time together as a family. Dad also enjoys being active, playing basketball, weight training, skiing, and body surfing.
Mr. Schwartz provides a comprehensive wealth management experience encompassing estate planning strategies, business planning, and retirement planning. He provides a centralized coordination process among your professionals, including CPA's and estate attorneys. He refers to his service as being your personal/family CFO. Utilizing his knowledge and experience of over 30 years in the business, his practice offers customized wealth preservation and strategic investment management portfolios. His investment management strategy makes use of long-term/comprehensive investment management techniques. His wealth management practice provides services to help people achieve financial independence and wealth preservation for generations. His knowledge encompasses all areas of wealth management including, investments, income and estate tax planning strategies, insurance, and charitable gifting.
Mr. Schwartz understands the financial challenges facing people today. "Every person has different goals and objectives. Some people would like to leave a legacy, and others may need assistance to ensure that they may live the best life possible, without the risk of outliving their financial resources. We believe that our expertise and service is second to none in helping people and businesses achieve their respective goals."
Previous positions held:
Registered Principal/Wealth Management Specialist - Raymond James Financial (1999 - 2013)
Vice President/Financial Advisor - Merrill Lynch (1995-1999)
Financial Advisor- Paine Webber (1991-1995)
Financial Advisor- Shearson Lehman Brothers (1987-1991)
CERTIFIED FINANCIAL PLANNER™- Certified Financial Planner Board of Standards, Inc.
Chartered Financial Consultant® - The American College of Financial Services
PIM® Portfolio Manager - Wells Fargo Advisors Financial Network
CA Insurance License Number: 0A42065. Resident State: CA
San Diego State University - B.S. Business Administration, Minor- Psychology
Wells Fargo Advisors Financial Network is not a legal or tax advisor.
*The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Active as a credentialed professional in the financial services industry for a minimum of 5 years; 3. Favorable regulatory and complaint history review (unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional's consumer complaint process*); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients; 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or awarded. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The award methodology does not evaluate the quality of services provided and is not indicative of the winner's future performance. In 2012, 1,760 Orange County wealth managers were considered for the award; 255 (14% of candidates) were named Five Star Wealth Managers. In 2013, 2,293 Orange County wealth managers were considered for the award; 415 (19% of candidates) were named Five Star Wealth Managers. In 2014, 3,489 Orange County wealth managers were considered for the award; 302 (9% of candidates) were named Five Star Wealth Managers. In 2015, 2,010 considered, 351 winners (17% of candidates). In 2017, 1,790 considered; 280 winners (16% of candidates). In 2018, 2,423 considered; 144 winners (6% of candidates). In 2019, 2,469 considered, 187 winners (8% of candidates). In 2020, 2,320 considered, 152 winners (7% of candidates). In 2021, 2,398 Orange County-area wealth managers were considered for the award; 144 (6% of candidates) were named 2021 Five Star Wealth Managers.
*To qualify as having a favorable regulatory and complaint history, the person cannot have: 1. been subject to a regulatory action that resulted in a suspended or revoked license, or payment of a fine, 2. had more than three customer complaints filed against them (settled or pending) with any regulatory authority or Five Star Professional's consumer complaint process, 3. Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority, 4. Filed for bankruptcy, or 5. Been convicted of a felony.