Robert Michael Schwartzberg
Professional Summary
Robert Michael Schwartzberg, who also goes by Robert M Schwartzberg, is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Robert M Schwartzberg
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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
41 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
NC SECURITIES, LLC
Contact Information
Main Address
101 Marlboro Avenue Suite 53, Easton, MD 21601Mailing Address
101 Marlboro Avenue Suite 53, Easton, MD 21601Phone Number
(240) 988-1296Established
Delaware since 09/28/2005Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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
(2/27/2020)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 87 — Research Analyst Exam - Part II Regulations Module
Passed Feb 2009About the Series 87 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Robert Michael Schwartzberg's CRS (Customer Relationship Summary).
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