James F. 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.
James Francis Schwartz was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1992. James had worked at 6 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2000 - December 10, 2002
MARITIME FINANCIAL ADVISORS INC
November 23, 1999 - October 3, 2012
NEW ENGLAND SECURITIES
September 13, 1999 - October 3, 2012
NEW ENGLAND SECURITIES
May 3, 1999 - August 30, 1999
PARK AVENUE SECURITIES LLC
July 6, 1998 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
April 4, 1994 - June 10, 1998
ROBERT W. BAIRD & CO. INCORPORATED
May 7, 1992 - June 10, 1998
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current firm
No current employment
Red Flags
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