Charles D. 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.
Charles David Schwartz was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1984. Charles had worked at 7 firms and has passed the Series 63, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 1993 - April 26, 2013
THE NORTHSTAR GROUP, INC.
January 26, 1993 - March 24, 1993
VANGUARD CAPITAL
April 17, 1990 - January 23, 1993
YOUNG CAPITAL GROUP (LIMITED PARTNERSHIP)
March 16, 1990 - May 2, 1990
MABON, NUGENT & CO.
April 26, 1986 - March 13, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
June 10, 1985 - March 20, 1986
BNP PARIBAS SECURITIES CORP.
June 5, 1984 - March 15, 1985
QUADREX SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
THE NORTHSTAR GROUP, INC.
CRD#: 31282 / SEC#: , 8-45478
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWARTZ, CHARLES DAVID | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | 1206508 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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