Michael G. Schwartz

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CRD#: 1083472

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.

Michael Gerald Schwartz was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1983. Michael had worked at 8 firms and has passed the Series 63, Series 15, Series 7, Series 24, Series 14, Series 4 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 10, 2009 - October 15, 2012

ARDOUR CAPITAL INVESTMENTS, LLC

CRD#: 120574

NEW YORK, NY

Past

February 26, 2001 - September 23, 2003

SALOMON REINVESTMENT COMPANY INC

CRD#: 39213

NEW YORK, NY

Past

December 6, 1991 - March 26, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

May 26, 1989 - June 12, 1990

SS&C MARKET SERVICES, LLC

CRD#: 23568

QUINCY, MA

Past

April 2, 1986 - June 22, 1990

WALL STREET ACCESS

CRD#: 10012

NEW YORK, NY

Past

October 9, 1985 - April 15, 1986

MORGAN STANLEY DW INC.

CRD#: 7556

Past

July 6, 1983 - September 4, 1985

JSC SECURITIES, INC.

CRD#: 475

Past

February 24, 1983 - June 29, 1983

L. F. ROTHSCHILD & CO. INCORPORATED

CRD#: 501

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 1/10/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 15

Date: 6/12/1984

Foreign Currency Options Examination

General Industry/Product Exam

Series 7

Date: 2/19/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/2/1989

General Securities Principal Examination

Principal/Supervisory Exam

Series 14

Date: 9/25/1989

Compliance Officer Examination

Principal/Supervisory Exam

Series 4

Date: 1/21/1985

Registered Options Principal Examination

Principal/Supervisory Exam

Series 8

Date: 1/26/1984

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

ARDOUR CAPITAL INVESTMENTS, LLC

CRD#: 120574 / SEC#: , 8-65317

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

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Contact information

Main Address

780 Long Beach Blvd, Long Beach, NY 11561

Mailing Address

780 Long Beach Blvd, Long Beach, NY 11561

Phone number

(917) 330-3442

Established

Delaware since 01/18/2002

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (9 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ARDOUR CAPITAL PARTNERS, LLC	MANAGING MEMBER
OBRIEN, JEANMARC EDWARD	SHAREHOLDER	1728754
APPELSON, STUART DAVID	CHIEF FINANCIAL OFFICER
DUKES, KERRY JOSEPH	MANAGING PARTNER, CHIEF COMPLIANCE OFFICER	1773976
GREENSTEIN, BRIAN JAY	PRESIDENT	1373346

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Michael G. Schwartz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SALOMON REINVESTMENT COMPANY INC

CITIGROUP GLOBAL MARKETS INC.

SS&C MARKET SERVICES, LLC

WALL STREET ACCESS

MORGAN STANLEY DW INC.

JSC SECURITIES, INC.

L. F. ROTHSCHILD & CO. INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 1/10/1984

Series 15

Date: 6/12/1984

Series 7

Date: 2/19/1983

Series 24

Date: 10/2/1989

Series 14

Date: 9/25/1989

Series 4

Date: 1/21/1985

Series 8

Date: 1/26/1984

Current Firm

ARDOUR CAPITAL INVESTMENTS, LLC

Contact information

FINRA licenses (9 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ARDOUR CAPITAL INVESTMENTS, LLC

TRUST BUT VERIFY

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