Robert M. Schwartzberg
Professional summary
Robert Michael Schwartzberg, who also goes by Robert M Schwartzberg, is a registered financial professional currently at NC SECURITIES, LLC located in Easton, Maryland.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1985. Robert has worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 87, Series 86, Series 7, Series 16 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert Michael Schwartzberg's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 13, 2013 - Present
NC SECURITIES, LLC
Office #1: 101 Marlboro Avenue Suite 53, Easton, MD 21601May 14, 2008 - April 1, 2011
COMPASS POINT RESEARCH & TRADING, LLC
June 17, 1991 - April 5, 2001
B. RILEY SECURITIES, INC.
December 11, 1985 - January 12, 1988
JOHNSTON, LEMON & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/27/2020)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
NC SECURITIES, LLC
CRD#: 141074 / SEC#: , 8-67360
Contact information
FINRA licenses (1 States and Territories)
Documents
Red Flags
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Company Information
NC SECURITIES, LLC
CRD#: 141074Easton, MD 21601TRUST BUT VERIFY
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