Allan L. Schwartz
Professional summary
Allan Lewis Schwartz was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Allan is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Allan had worked at 6 firms, which includes KOVACK SECURITIES INC., LITWIN SECURITIES INC., NORTH AMERICAN INSTITUTIONAL BROKERS, FIRST AMERICA EQUITIES CORP., INVESTACORP INC., BRENNAN ROSS SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 19, 1999 - December 31, 2009
KOVACK SECURITIES INC.
July 11, 1997 - October 9, 1997
LITWIN SECURITIES INC.
June 2, 1989 - July 14, 1995
NORTH AMERICAN INSTITUTIONAL BROKERS
January 5, 1989 - June 13, 1989
FIRST AMERICA EQUITIES CORP.
September 28, 1988 - January 17, 1989
INVESTACORP, INC.
December 22, 1987 - February 4, 1988
BRENNAN ROSS SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
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