Jason D. Schwartz
Professional summary
Jason Drew Schwartz, who also goes by Jason Schwartz, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.
Jason is registered as a RR (Registered Representative) and started their career in finance in 1995. Jason has worked at 4 firms and has passed the Series 63, Series 65, Series 82TO, Series 79TO and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jason Drew Schwartz's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 1, 2021 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003October 29, 2002 - June 15, 2005
LEHMAN BROTHERS INC.
August 3, 1998 - January 30, 2002
GOLDMAN SACHS & CO. LLC
August 11, 1995 - September 10, 1996
J.P. MORGAN SECURITIES 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
(1/22/2025)
(12/12/2023)
(11/2/2021)
(2/18/2025)
(11/29/2022)
(4/14/2023)
Exams
Series 82TO
Date: 12/10/2021
Limited Representative-Private Securities OfferingsSeries 79TO
Date: 10/29/2021
Investment Banking Registered Representative ExaminationFINRA
Current Firm
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINALIS, INC. | HOLDING COMPANY | |
| AZARY, DENNIS MICHAEL | CEO/CCO/FINOP | 2384263 |
Red Flags
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