Richard Eric Schwartz
Professional Summary
Richard Eric Schwartz was a registered financial advisor. Richard was a previously registered financial professional and started their career in finance 1984 - 2004. Richard had worked at 9 firms and has passed the Series 63, Series 55, Series 7 and Series 3 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
42 years in the financial services industry
Current & Past Employments
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Current Firm
E*TRADE PROFESSIONAL TRADING, LLC | TRADESCAPE.COM SECURITIES, LLC | MOMENTUM SECURITIES, L.L.C. | MOMENTUM SECURITIES, INC. | LIGHTSPEED PROFESSIONAL TRADING LLC
Contact Information
Established
Texas since 12/10/1999Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LIGHTSPEED FINANCIAL, LLC | OWNER | — |
| ACTMAN, ANDREW HOWARD | CHIEF STRATEGY OFFICER | 2869087 |
| BARRILLEAUX, JANICE JONES | CHIEF OPERATIONS OFFICER | 2339063 |
| EHRLICH, STEPHEN JAY | CHIEF EXECUTIVE OFFICER | 2454375 |
| EHRLICH, STEPHEN JAY | CHIEF COMPLIANCE OFFICER | 2454375 |
| IGNALL, SCOTT STEVEN | CHIEF TECHNOLOGY OFFICER | 2783532 |
| LYONS, JASON ROBERT | CHIEF FINANCIAL OFFICER | 2921790 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Mar 2000Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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