Cathy M. Schwarz
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Cathy Mary Schwarz MS, who also goes by Cathy Mary Schwarz, was a registered financial professional .
Cathy is a previously registered financial professional and started their career in finance in 1982. Cathy had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2015 - June 30, 2016
CRT CAPITAL GROUP LLC
June 11, 2014 - April 20, 2015
STERNE, AGEE & LEACH, INC.
April 7, 2006 - May 14, 2014
COWEN AND COMPANY
May 3, 2000 - March 20, 2006
J.P. MORGAN SECURITIES LLC
April 7, 1999 - May 12, 2000
SCHRODER & CO. INC.
September 7, 1993 - April 1, 1999
LADENBURG THALMANN & CO. INC.
April 30, 1991 - September 16, 1993
INTESA SANPAOLO IMI SECURITIES CORP.
June 24, 1982 - April 30, 1991
MABON, NUGENT & CO.
State Registrations and Notice Filings
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Exams
Current Firm
CRT CAPITAL GROUP LLC
CRD#: 28830 / SEC#: , 8-43940
Contact information
Documents
Disclosures
| Regulatory Event | 13 |
Red Flags
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