Charles Schwartz
Professional summary
Charles Schwartz III, who also goes by Charlie Schwartz III, is a registered financial professional currently at OLD CITY SECURITIES LLC located in New York, New York.
Charles is registered as a RR (Registered Representative) and started their career in finance in 1987. Charles has worked at 9 firms and has passed the Series 63, Series 65, Series 79TO, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Charles Schwartz III's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 8, 2024 - Present
OLD CITY SECURITIES LLC
Office #1: 589 Fifth Avenue Ph, New York, NY 10017March 17, 2015 - August 6, 2024
STONEHAVEN, LLC
May 31, 2011 - December 31, 2015
TITANIUM CAPITAL GROUP
December 19, 2005 - March 25, 2013
METCIRCLE SECURITIES LLC
January 10, 2000 - February 6, 2003
AIG INTERNATIONAL SECURITIES INC.
August 12, 1996 - January 26, 1999
UBS SECURITIES LLC
December 6, 1993 - January 12, 1995
GOLDMAN SACHS & CO. LLC
November 8, 1988 - December 18, 1993
AIG FINANCIAL SECURITIES CORP.
May 1, 1987 - September 21, 1987
DB ALEX. BROWN LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/9/2024)
(8/14/2024)
(8/9/2024)
(8/14/2024)
(8/12/2024)
(8/26/2024)
(8/21/2024)
(8/13/2024)
(8/8/2024)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
OLD CITY SECURITIES LLC
CRD#: 171910 / SEC#: , 8-69488
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Red Flags
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