David A. Schwarz

HEROLD & LANTERN INVESTMENTS

Melville, NY 11747

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CRD#: 1712366

Professional summary

David Adam Schwarz, who also goes by David A. Schwarz, is a registered financial professional currently at HEROLD & LANTERN INVESTMENTS, INC. located in Melville, New York.

David is registered as a RR (Registered Representative) and started their career in finance in 1987. David has worked at 15 firms and has passed the Series 63, Series 79TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

David A. Schwarz

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Adam Schwarz's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 2, 2024 - Present

HEROLD & LANTERN INVESTMENTS, INC.

Office #1: 35 Pinelawn Road Suite 101e, Melville, NY 11747Office #2: 35 Pinelawn Road Suite 101e, Melville, NY 11747

CRD#: 30996

Melville, NY

Past

October 23, 2015 - January 4, 2024

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

New York, NY

Past

June 17, 2013 - October 30, 2015

BRILL SECURITIES, INC.

CRD#: 18565

NEW YORK, NY

Past

February 4, 2013 - April 16, 2013

WESTOR CAPITAL GROUP, INC.

CRD#: 103823

NEW YORK, NY

Past

February 21, 2012 - September 21, 2012

BRILL SECURITIES, INC.

CRD#: 18565

NEW YORK, NY

Past

March 4, 2011 - January 4, 2012

BGC FINANCIAL, L.P.

CRD#: 19801

NEW YORK, NY

Past

July 22, 2009 - December 23, 2010

OBEX SECURITIES LLC

CRD#: 120002

NEW ROCHELLE, NY

Past

October 14, 2008 - July 21, 2009

MONTECITO ADVISORS, INC.

CRD#: 104004

NEW YORK, NY

Past

June 18, 2008 - October 6, 2008

KABRIK TRADING LLC

CRD#: 104460

NEW YORK, NY

Past

June 4, 2007 - June 20, 2008

WALTER J. DOWD, INC.

CRD#: 32701

NEW YORK, NY

Past

January 30, 2006 - March 20, 2007

W.R. HAMBRECHT + CO., LLC

CRD#: 45040

NEW YORK, NY

Past

August 22, 2005 - January 9, 2006

HUDSON SECURITIES,INC.

CRD#: 10467

JERSEY CITY, NJ

Past

April 29, 2002 - September 14, 2004

FULCRUM GLOBAL PARTNERS LLC

CRD#: 104455

NEW YORK, NY

Past

November 16, 1995 - April 19, 2002

KNIGHT CAPITAL AMERICAS, L.P.

CRD#: 38599

JERSEY CITY, NJ

Past

October 16, 1995 - November 7, 1995

KNIGHT CAPITAL AMERICAS, L.P.

CRD#: 38599

Past

May 1, 1989 - October 26, 1995

UBS CAPITAL MARKETS L.P.

CRD#: 2692

STAMFORD, CT

Past

December 22, 1987 - May 5, 1989

NASH, WEISS & CO.

CRD#: 6470

JERSEY CITY, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(1/2/2024)

New Jersey
(1/2/2024)

New York
(1/2/2024)

Exams

State Security Law Exam

Series 63

Date: 10/20/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 11/10/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 12/19/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/25/1997

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

HEROLD & LANTERN INVESTMENTS, INC.

HEROLD & LANTERN INVESTMENTS, INC. | LANTERN INVESTMENTS, INC.

CRD#: 30996 / SEC#: , 8-45285

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

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Contact information

Main Address

35 Pinelawn Road Suite 101e, Melville, NY 11747

Mailing Address

35 Pinelawn Road Suite 101e, Melville, NY 11747

Phone number

(631) 454-2000

Established

Delaware since 08/28/1992

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
PERCHERON ASSET MANAGEMENT GROUP, INC.	OWNER
HEROLD, LAWRENCE STEPHEN	CHIEF OPERATING OFFICER/FINOP	870531
LANTON, KEITH MICHAEL	PRESIDENT	1703378
SHEFTEL, WENDY DIANE	CHIEF COMPLIANCE OFFICER	2300282

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

David A. Schwarz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Adam Schwarz's CRS (Customer Relationship Summary).

Certified licenses

Experience

WESTERN INTERNATIONAL SECURITIES, INC.

BRILL SECURITIES, INC.

WESTOR CAPITAL GROUP, INC.

BRILL SECURITIES, INC.

BGC FINANCIAL, L.P.

OBEX SECURITIES LLC

MONTECITO ADVISORS, INC.

KABRIK TRADING LLC

WALTER J. DOWD, INC.

W.R. HAMBRECHT + CO., LLC

HUDSON SECURITIES,INC.

FULCRUM GLOBAL PARTNERS LLC

KNIGHT CAPITAL AMERICAS, L.P.

KNIGHT CAPITAL AMERICAS, L.P.

UBS CAPITAL MARKETS L.P.

NASH, WEISS & CO.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/20/1988

Series 79TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 11/10/1999

Series 7

Date: 12/19/1987

Series 24

Date: 7/25/1997

FINRA

Current Firm

HEROLD & LANTERN INVESTMENTS, INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

HEROLD & LANTERN INVESTMENTS, INC.

TRUST BUT VERIFY

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