Robert W. Schwabe
Professional summary
Robert William Schwabe is a registered financial professional currently at FORUM CAPITAL SECURITIES LLC located in New York, New York.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1994. Robert has worked at 3 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 50, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert William Schwabe's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 6, 2001 - Present
FORUM CAPITAL SECURITIES LLC
Office #1: 477 Madison Avenue 6th Floor, Pmb #6819, New York, NY 10022Office #2: 477 Madison Avenue 6th Floor, Pmb #6819, New York, NY 10022May 16, 1994 - November 2, 2000
CIBC WORLD MARKETS CORP.
March 28, 1994 - April 5, 1994
COWEN AND COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/6/2013)
(6/6/2013)
(6/18/2007)
(6/6/2013)
(6/6/2013)
(2/2/2010)
(4/26/2010)
(1/25/2010)
(1/11/2010)
(6/6/2013)
(9/6/2001)
(1/13/2010)
(3/16/2010)
(6/6/2013)
(11/3/2009)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
FORUM CAPITAL SECURITIES LLC
CRD#: 113855 / SEC#: , 8-53364
Contact information
FINRA licenses (15 States and Territories)
Red Flags
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