Howard B. 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.
Howard Bruce Schwartz, who also goes by Bruce Schwartz, Howard B Schwartz, Howard Schwartz, was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1985. Howard had worked at 9 firms and has passed the Series 63, Series 7 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
November 22, 1999 - February 16, 2000
NEW TIMES SECURITIES SERVICES, INC.
February 5, 1998 - October 18, 1999
THE CAMELOT GROUP, INC.
August 19, 1996 - December 16, 1997
MEYERS POLLOCK ROBBINS, INC.
October 5, 1995 - July 17, 1996
TOLUCA PACIFIC SECURITIES CORP.
October 21, 1991 - September 6, 1995
CORTLANDT CAPITAL CORPORATION
September 13, 1988 - October 25, 1991
BARRETT DAY SECURITIES, INC.
September 15, 1987 - September 29, 1988
LOMBARD SECURITIES CORP.
November 26, 1986 - September 21, 1987
LEVCO SECURITIES CORP.
September 10, 1985 - December 1, 1986
GREENTREE SECURITIES CORP.
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
Current Firm
NEW TIMES SECURITIES SERVICES, INC.
CRD#: 34154 / SEC#: , 8-46215
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Civil Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
