Jeffrey G. 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 Glenn Schwartz, CIMA®, who also goes by Jeff Schwartz, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1994. Jeffrey had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2016 - June 19, 2017
NUVEEN SECURITIES, LLC
August 24, 2012 - March 21, 2016
TEACHERS PERSONAL INVESTORS SERVICES, INC.
January 3, 2012 - February 16, 2012
BLACKROCK INVESTMENTS, LLC
May 28, 2010 - December 23, 2011
BLACKROCK INVESTMENTS, LLC
November 6, 2009 - December 31, 2011
BLACKROCK FUND DISTRIBUTION COMPANY
May 26, 2000 - December 31, 2009
BLACKROCK EXECUTION SERVICES
September 17, 1997 - May 26, 2000
STATE STREET RESEARCH INVESTMENT SERVICES, INC.
March 5, 1994 - June 26, 1997
FIDELITY DISTRIBUTORS COMPANY LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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