Stephen 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.
Stephen Jeffrey Schwartz was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1993. Stephen had worked at 9 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 34, Series 3, Series 55, Series 7, Series 9, Series 10, Series 30, Series 27, Series 24, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 2007 - November 8, 2021
TRADESTATION SECURITIES, INC.
June 2, 2006 - March 22, 2007
CYBERTRADER, INC.
January 17, 2002 - June 5, 2006
TRADESTATION SECURITIES, INC.
December 22, 1999 - January 17, 2002
DREYFUS BROKERAGE SERVICES, INC.
July 26, 1996 - January 13, 2000
TD AMERITRADE, INC.
May 21, 1996 - July 3, 1996
ROYAL PALM INVESTMENTS, LTD.
March 27, 1995 - April 11, 1996
ROYAL PALM INVESTMENTS, LTD.
September 28, 1994 - April 3, 1995
JWGENESIS SECURITIES, INC.
September 26, 1994 - September 30, 1994
JOSEPHTHAL & CO., INC.
March 24, 1994 - October 27, 1994
D. BLECH & COMPANY, INCORPORATED
January 11, 1993 - March 28, 1994
DICKINSON & CO.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/13/2003
Limited Representative-Equity Trader ExamSeries 8
Date: 2/24/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TRADESTATION SECURITIES, INC.
CRD#: 39473 / SEC#: , 8-48711
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADESTATION GROUP, INC. | OWNER - PARENT CORPORATION | |
| BOLEK, JOHN MITCHELL | PRINCIPAL OPERATIONS OFFICER | 2363046 |
| KOROTKIY, PETER | PRESIDENT & CHIEF OPERATING OFFICER | 2706102 |
| MORMILE-WOLPER, MYRA CHRISTINE | GENERAL COUNSEL AND ASSISTANT SECRETARY | 6753154 |
| ROJEK, JAMES H | CHIEF FINANCIAL OFFICER & PRINCIPAL FINANCIAL OFFICER | 3096214 |
| WALTON, HERBERT | CHIEF COMPLIANCE OFFICER | 4030847 |
Disclosures
| Regulatory Event | 28 |
| Arbitration | 4 |
Red Flags
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