Richard E. 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 Eric Schwartz was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 9 firms and has passed the Series 63, Series 55, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2004 - July 28, 2004
LIGHTSPEED PROFESSIONAL TRADING LLC
May 20, 2003 - July 15, 2003
LAVAFLOW, INC.
May 20, 1997 - May 14, 2002
SCHONFELD SECURITIES, LLC
September 19, 1989 - February 15, 1990
MORGAN STANLEY DW INC.
July 21, 1989 - August 19, 1989
CAPITAL SECURITIES GROUP, INC.
February 15, 1988 - October 3, 1988
LEHMAN BROTHERS INC.
September 30, 1986 - February 15, 1988
E. F. HUTTON & COMPANY INC
June 10, 1985 - October 20, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 26, 1984 - May 16, 1985
BLINDER, ROBINSON & CO., 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 55
Date: 3/13/2000
Limited Representative-Equity Trader ExamCurrent Firm
LIGHTSPEED PROFESSIONAL TRADING LLC
CRD#: 39293 / SEC#: , 8-48713
Contact information
Documents
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 | 8 |
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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