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AS

Amber L. Schwartz

PENSERRA SECURITIES
New York, NY 10018
Some features on this profile are disabled
CRD#: 1766248
AS

Professional summary

Amber Lindsay Schwartz, who also goes by Amber Kathleen Lindsay, Amber Royall Lindsay, is a registered financial professional currently at PENSERRA SECURITIES, LLC located in New York, New York.

Amber is registered as a RR (Registered Representative) and started their career in finance in 1992. Amber has worked at 12 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Amber Kathleen Lindsay | Amber Royall Lindsay

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 Amber Lindsay Schwartz's 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

July 1, 2021 - Present

PENSERRA SECURITIES, LLC

Office #1: 530 Seventh Ave Suite 2802, New York, NY 10018
BD
CRD#: 145994
New York, NY
Past

August 5, 2016 - December 9, 2019

PIPER SANDLER & CO.

RIA
CRD#: 665
Barrington, IL
Past

November 6, 2014 - August 5, 2016

PIPER JAFFRAY INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 145876
Barrington, IL
Past

November 6, 2014 - December 9, 2019

PIPER SANDLER & CO.

BD
CRD#: 665
Barrington, IL
Past

November 8, 2012 - November 6, 2014

MOUNTAINVIEW SECURITIES, LLC

BD
CRD#: 7882
KILDEER, IL
Past

May 23, 2011 - November 28, 2012

SANDERS MORRIS LLC

RIA
CRD#: 20580
KILDEER, IL
Past

December 6, 2006 - November 28, 2012

SANDERS MORRIS LLC

BD
CRD#: 20580
KILDEER, IL
Past

January 3, 2003 - December 7, 2006

OPPENHEIMER & CO. INC.

BD
CRD#: 249
CHICAGO, IL
Past

March 21, 2001 - January 3, 2003

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

May 16, 1996 - March 21, 2001

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

BD
CRD#: 6950
MEMPHIS (SHELBY), TN
Past

November 1, 1993 - June 5, 1996

M.G.S.I. SECURITIES, INC.

BD
CRD#: 16723
HOUSTON, TX
Past

November 30, 1992 - November 9, 1993

WESTCAP SECURITIES, L.P.

BD
CRD#: 7301
HOUSTON, TX
Past

November 28, 1992 - November 9, 1993

WESTCAP GOVERNMENT SECURITIES, INC.

BD
CRD#: 19645
Past

January 22, 1992 - November 9, 1992

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

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

RR
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

RR
California
(7/2/2021)
RR
Connecticut
(7/6/2021)
RR
Florida
(7/6/2021)
RR
Illinois
(7/16/2021)
RR
Indiana
(7/7/2021)
RR
Iowa
(7/1/2021)
RR
Maryland
(7/6/2021)
RR
Minnesota
(7/6/2021)
RR
Missouri
(7/1/2021)
RR
New Jersey
(7/13/2021)
RR
New Mexico
(7/6/2021)
RR
New York
(7/13/2021)
RR
Ohio
(7/2/2021)
RR
Texas
(7/2/2021)
RR
Virginia
(7/3/2021)
RR
Wisconsin
(7/2/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/20/2011
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/9/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/20/1992
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

PS
PENSERRA SECURITIES, LLC
PENSERRA SECURITIES | PENSERRA SECURITIES, LLC

CRD#: 145994 / SEC#: , 8-67773

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
4 Orinda Way Suite 100-a, Orinda, CA 94563
Mailing Address
4 Orinda Way Suite 100-a, Orinda, CA 94563
Phone number
(646) 459-0581
Established
New York since 02/27/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (17 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PENSERRA FINANCIAL VENTURES LLCHOLDING COMPANY / MEMBER
CASTELLI, ANTHONY NMNCOO4409925
GEIGER, LEE WILSONFINOP1552293
JOSEPH, ELOIS L'KEKSHACCO5449352
MADRIGAL, JORGE NMNPRESIDENT & CEO / MEMBER3204950

Red Flags

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.

Company Information

PENSERRA SECURITIES, LLC

CRD#: 145994New York, NY 10018

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