Marc J. 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.
Marc J Schwartz was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1992. Marc had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31 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
April 16, 2010 - March 2, 2016
PATRICK CAPITAL MARKETS, LLC
June 4, 2009 - October 1, 2009
ASPECT SECURITIES, LLC
September 16, 2005 - April 3, 2009
EMERGENT FINANCIAL GROUP, INC.
January 26, 2005 - December 31, 2011
RATAJCZAK CAPITAL PARTNERS, LLC
May 8, 1998 - September 14, 2005
DUNWOODY BROKERAGE SERVICES, INC.
February 17, 1995 - April 17, 1998
THE ROBINSON-HUMPHREY COMPANY, LLC
April 23, 1992 - February 6, 1995
MORGAN STANLEY DW 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
Current Firm
PATRICK CAPITAL MARKETS, LLC
CRD#: 16518 / SEC#: , 8-34099
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAXONY FINANCIAL HOLDINGS, LLC. | SOLE OWNER/ MEMBER | |
| CLARK, BRIAN LESLEY | PRESIDENT, CEO, AND CFO | 4802438 |
| KLUMP, RYAN CHRISTOPHER | SENIOR VICE PRSIDENT | 4762698 |
| MATARAZZI, NATHAN DOMENICO | FINOP, POO AND PFO | 4827090 |
| MITCHELL, JARAD BYRAM | COO | 4811305 |
| WEBSTER, TERRANCE MICHAEL | CHIEF COMPLIANCE OFFICER | 6826889 |
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.
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