Eric 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.
Eric Schwartz was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1983. Eric had worked at 3 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2010 - August 7, 2017
CONTINUITY PARTNERS GROUP, LLC
December 11, 1995 - September 10, 2024
CAMBRIDGE INVESTMENT RESEARCH, INC.
September 21, 1983 - October 11, 2002
ENERIC FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
CONTINUITY PARTNERS GROUP, LLC
CRD#: 151381 / SEC#: 801-70784, 8-68422
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ERIC SCHWARTZ REVOCABLE TRUST | SHAREHOLDER | |
| CONTINUITY MANAGEMENT GROUP, LLC | SHAREHOLDER/HOLDING COMPANY/MANAGING MEMBER | |
| ANDERSON, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2310015 |
| BOYLES, RICHARD CHARLES | CFO, FINOP | 2210763 |
| FERGUSON, MONTE CLARK | DIRECTOR | 2627255 |
| MILLER, SETH AARON | DIRECTOR | 5495508 |
| NELSON, DAVID MICHAEL | DIRECTOR | 2120855 |
| SANSON, GARY CARL | DIRECTOR | 2329819 |
| SCHWARTZ, ERIC | TRUSTEE OF ERIC SCHWARTZ REVOCABLE TRUST | 1203799 |
| SCHWARTZ, ERIC | CEO & DIRECTOR | 1203799 |
| SELBERG, KYLE RUSSELL | SHAREHOLDER | 1037140 |
| SULLIVAN, JAMES DANIEL | DIRECTOR | 700867 |
| VIVACQUA, JEFFREY FRANCIS | PRESIDENT/DIRECTOR | 2608892 |
| WEBBER, AMY LYNN | DIRECTOR | 1812670 |
| WESTHOELTER, SHANE EDWARD | DIRECTOR | 2341005 |
Red Flags
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