Richard S. Schwartz
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.
Richard Samuel Schwartz was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 6 firms and has passed the Series 63, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 1993 - May 4, 1993
ROSS SECURITIES CORP.
October 9, 1991 - December 17, 1992
JOSEPHTHAL & CO., INC.
May 29, 1990 - October 22, 1991
JJC SECURITIES CO., INC.
February 27, 1990 - May 29, 1990
JSC SECURITIES, INC.
May 29, 1984 - November 14, 1989
LEHMAN BROTHERS INC.
October 11, 1983 - May 22, 1984
DAVID LERNER ASSOCIATES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
ROSS SECURITIES CORP.
CRD#: 30263 / SEC#: , 8-44810
Contact information
Documents
Red Flags
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