David Schwartz
Professional summary
David Schwartz, who also goes by David E Schwartz, David Edward Schwartz, is a registered financial professional currently at REGIONS SECURITIES LLC located in Atlanta, Georgia.
David is registered as a RR (Registered Representative) and started their career in finance in 1998. David has worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Schwartz's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 20, 2021 - Present
REGIONS SECURITIES LLC
Office #1: 1180 W Peachtree Street Nw, Atlanta, GA 30309February 27, 2015 - April 21, 2021
WELLS FARGO CLEARING SERVICES, LLC
October 28, 2013 - September 2, 2014
LPL FINANCIAL LLC
June 5, 2006 - November 23, 2011
FIRST CLEARING, LLC
May 1, 2002 - December 2, 2003
METROPOLITAN INVESTMENT SECURITIES, INC.
May 30, 2001 - September 10, 2001
SHARE KING, LLC
February 3, 1999 - June 5, 2001
NATIONAL CLEARING CORP.
August 13, 1998 - October 2, 1998
BROOKSTREET SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/13/2021)
(11/6/2024)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 3/2/2000
Limited Representative-Equity Trader ExamFINRA
Current Firm
REGIONS SECURITIES LLC
CRD#: 159475 / SEC#: , 8-68990
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RFC FINANCIAL SERVICES HOLDING LLC | PARENT | |
| AMIN, RITVIG NIPENDRA | CHAIRMAN OF THE BOARD & DIRECTOR | 2901218 |
| GIARDINO, NEIL | CEO, PRESIDENT AND DIRECTOR | 2428962 |
| HOLLOWAY, GLENN CHRISTOPHER | FINOP, CFO, PFO, POO & DIRECTOR | 4566759 |
| MAGGIORE, JILL WRIGHT | CHIEF COMPLIANCE OFFICER & DIRECTOR | 1001068 |
| MAXWELL, JASON MATTHEW | CHIEF LEGAL OFFICER & DIRECTOR | 5997125 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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