Karl J. Schwartzbaum
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.
Karl Jack Schwartzbaum, who also goes by Karl Schwartzbaum, was a registered financial professional .
Karl is a previously registered financial professional and started their career in finance in 1991. Karl had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 6, 2002 - December 11, 2003
CONTINENTAL BROKER-DEALER CORP.
November 20, 2001 - May 22, 2002
SANDS BROTHERS & CO., LTD.
August 31, 2001 - November 26, 2001
BLUESTONE CAPITAL CORP.
January 8, 2001 - August 31, 2001
SSI SECURITIES CORP.
May 28, 1999 - January 2, 2001
GKN SECURITIES CORP.
January 18, 1995 - March 15, 1999
GKN SECURITIES CORP.
February 24, 1993 - January 12, 1995
PARAGON CAPITAL MARKETS, INC.
September 20, 1991 - February 11, 1993
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CONTINENTAL BROKER-DEALER CORP.
CRD#: 14048 / SEC#: , 8-43159
Contact information
Documents
Disclosures
| Regulatory Event | 12 |
| Arbitration | 15 |
Red Flags
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