Andrew 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.
Andrew M Schwartz, who also goes by Andrew Mark Schwartz, Andrew Schwartz, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1992. Andrew had worked at 8 firms and has passed the Series 63, SIE, Series 55 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
January 26, 2019 - April 30, 2019
AVATAR SECURITIES, LLC
January 18, 2017 - April 13, 2017
AVATAR SECURITIES, LLC
October 22, 2013 - May 2, 2016
AVATAR SECURITIES, LLC
March 9, 2012 - September 21, 2012
G-2 TRADING,LLC
December 1, 2009 - June 30, 2010
QUAD CAPITAL, LLC
May 1, 2006 - December 2, 2009
G-2 TRADING,LLC
March 14, 1996 - February 27, 2006
FIRST NEW YORK SECURITIES L.L.C.
March 6, 1996 - March 18, 1996
WORLDCO, L.L.C.
February 15, 1994 - May 14, 1994
YORK SECURITIES, INC.
October 18, 1993 - March 1, 1994
AMERITRADE INSTITUTIONAL SERVICES, INC.
February 24, 1992 - April 10, 1992
MEYERS POLLOCK ROBBINS, INC.
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
Series 55
Date: 4/8/2000
Limited Representative-Equity Trader ExamCurrent Firm
AVATAR SECURITIES, LLC
CRD#: 147763 / SEC#: , 8-67932
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVATAR TRADING GROUP, LLC | HOLDING CO. | |
| DEETER, MISHA BODHI | MEMBER | 5132163 |
| BROWSKI, ANDREW CHARLES | CHIEF COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER | 5778834 |
| HOLLAND, RAYMOND F | CO-MANAGING MEMBER | 5509397 |
| KATHWARI, OMAR FAROOQ | CO-MANAGING MEMBER | 5509343 |
| SLOAN NOWAK, JACQUELINE LEE | FINOP/PRINCIPAL FINANCIAL OFFICER | 2717305 |
Disclosures
| Regulatory Event | 1 |
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.
