Robert C. 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.
Robert Charles Schwartz, who also goes by Robert C Schwartz, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1992. Robert had worked at 13 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2015 - December 26, 2017
NATIONAL SECURITIES CORPORATION
August 3, 2015 - December 31, 2015
FARMERS FINANCIAL SOLUTIONS, LLC
April 15, 2014 - November 7, 2014
EQUITY SERVICES, INC.
January 24, 2012 - February 28, 2014
ALLSTATE FINANCIAL SERVICES, LLC
April 5, 2010 - July 28, 2011
VALIC FINANCIAL ADVISORS, INC.
September 22, 2009 - April 7, 2010
DAVID LERNER ASSOCIATES, INC.
September 23, 2008 - September 1, 2009
PARK AVENUE SECURITIES LLC
June 13, 2001 - June 13, 2008
ALLSTATE FINANCIAL SERVICES, LLC
June 23, 2000 - June 13, 2001
THE LEADERS GROUP, INC.
April 28, 1999 - January 13, 2000
METROPOLITAN LIFE INSURANCE COMPANY
April 28, 1999 - January 13, 2000
MSI FINANCIAL SERVICES, INC.
January 8, 1997 - May 14, 1999
MONY SECURITIES CORPORATION
August 13, 1992 - January 16, 1997
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 13, 1992 - January 16, 1997
EQUITABLE ADVISORS, 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
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
