Howard L. 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.
Howard Lee Schwartz was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1993. Howard had worked at 3 firms and has passed the Series 63, Series 79, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2012 - October 17, 2013
HIGHBANK SECURITIES LLC
January 1, 1998 - January 9, 2001
CFG CAPITAL MARKETS, LLC
May 21, 1993 - July 1, 1997
ALEX. BROWN & SONS INCORPORATED
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
HIGHBANK SECURITIES LLC
CRD#: 153796 / SEC#: , 8-68570
Contact information
Documents
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.
