Harry M. Schwartz
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Harry Michael Schwartz, who also goes by Michael Schwartz, was a registered financial professional .
Harry is a previously registered financial professional and started their career in finance in 1991. Harry had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2010 - January 19, 2011
AMERICAN REALTY CAPITAL MARKETS, LLC
March 8, 2005 - February 23, 2010
U.S. SELECT SECURITIES LLC
June 27, 2002 - July 7, 2004
GRUBB & ELLIS SECURITIES, INC.
December 20, 2001 - June 20, 2002
PRUCO SECURITIES, LLC.
July 20, 2001 - November 30, 2001
THE INVESTMENT CENTER, INC.
April 8, 1991 - March 23, 2001
MERRIMAN CAPITAL, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
AMERICAN REALTY CAPITAL MARKETS, LLC
CRD#: 135277 / SEC#: , 8-66902
Contact information
Documents
Direct owners and executive officers
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.
