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Kevin R. Schweitzer

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CRD#: 1278920
KS

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.

Kevin Roy Schweitzer was a registered financial professional .

Kevin is a previously registered financial professional and started their career in finance in 1991. Kevin had worked at 11 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 4, 2021 - July 3, 2023

WALLACHBETH CAPITAL LLC

BD
CRD#: 147853
BOCA RATON, FL
Past

September 13, 2016 - May 2, 2019

CLEARVIEW TRADING ADVISORS, INC.

BD
CRD#: 142873
TENAFLY, NJ
Past

September 8, 2015 - June 25, 2016

ODEON CAPITAL GROUP LLC

BD
CRD#: 148493
NEW YORK, NY
Past

April 13, 2010 - February 20, 2015

MAXIM GROUP LLC

BD
CRD#: 120708
WOODBURY, NY
Past

April 3, 2009 - November 11, 2009

ACCESS SECURITIES, LLC

BD
CRD#: 22455
STAMFORD, CT
Past

November 17, 2008 - March 9, 2009

SANDERS MORRIS LLC

BD
CRD#: 20580
NEW YORK, NY
Past

August 7, 2008 - November 12, 2008

LAMPERT CAPITAL MARKETS INC.

BD
CRD#: 103725
NEW YORK, NY
Past

January 22, 2007 - July 29, 2008

HUDSON SECURITIES,INC.

BD
CRD#: 10467
JERSEY CITY, NJ
Past

August 15, 2005 - January 5, 2007

MILETUS TRADING, LLC

BD
CRD#: 127732
NEW YORK, NY
Past

July 11, 2002 - August 1, 2005

VANDHAM SECURITIES CORP.

BD
CRD#: 26258
PARK RIDGE, NJ
Past

November 18, 1991 - July 12, 2002

UBS CAPITAL MARKETS L.P.

BD
CRD#: 2692
STAMFORD, CT

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
RR
Series 63
Date: 9/14/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 12/3/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 11/15/1991
General Securities Representative Examination

Current Firm

WC
WALLACHBETH CAPITAL LLC
WALLACHBETH CAPITAL LLC

CRD#: 147853 / SEC#: , 8-67936

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
1001 Yamato Rd. Suite 404, Boca Raton, FL 33431
Mailing Address
1001 Yamato Rd. Suite 404, Boca Raton, FL 33431
Phone number
(646) 237-8585
Established
New York since 05/05/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (44 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WALLACHBETH HOLDINGS LLC95% OWNER
SAGO MANAGEMENT, LLC5% OWNER
BETH, DAVID JAYCOO/PRESIDENT/ MANAGING MEMBER2470494
OH, SEUNG CHEOLCFO, FNOP4632040
SCHWEITZER, ERIC BRUCECHIEF COMPLIANCE OFFICER1036891
WALLACH, MICHAEL CONRADCHIEF EXECUTIVE OFFICER/MANAGING MEMBER2376092

Disclosures

Regulatory Event2

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.

Company Information

WALLACHBETH CAPITAL LLC

CRD#: 147853

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