Jeffrey D. Schwartz
Professional summary
Jeffrey David Schwartz was a registered financial professional .
Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 1993. Jeffrey had worked at 8 firms and has passed the Series 63, Series 99TO, Series 7TO, Series 3, SIE, Series 55, Series 7, Series 9, Series 14, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 29, 2026 - Present
Office #1: 5532 Lillehammer Lane Suite 100, Park City, UT 84098Office #2: 5532 Lillehammer Lane Suite 100, Park City, UT 84098
December 15, 2011 - March 20, 2012
LIGHTSPEED TRADING, LLC
June 7, 2007 - March 20, 2012
POTAMUS TRADING, LLC
October 19, 2005 - October 2, 2007
TERRA NOVA FINANCIAL, LLC
June 10, 1999 - September 2, 1999
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
June 18, 1996 - May 26, 1999
PALI CAPITAL, LLC
December 20, 1995 - March 15, 1996
CAPITAL SECURITIES OF AMERICA, INC.
August 11, 1993 - December 8, 1993
M.L. STERN & CO., 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
Series 99TO
Date: 5/29/2026
Operations Professional ExaminationSeries 7TO
Date: 3/18/2025
General Securities Representative ExaminationSeries 55
Date: 3/29/2006
Limited Representative-Equity Trader ExamFINRA
Current firm
No current employment
Red Flags
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Company Information
No current employment
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