Jeffrey D. 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.
Jeffrey David Schwartz was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1993. Jeffrey had worked at 7 firms and has passed the Series 63, Series 55, Series 7, Series 3, 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
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 55
Date: 3/29/2006
Limited Representative-Equity Trader ExamCurrent Firm
LIGHTSPEED TRADING, LLC
CRD#: 35519 / SEC#: , 8-46795
Contact information
Documents
Disclosures
| Regulatory Event | 19 |
| Arbitration | 1 |
Red Flags
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