Fredric J. Schwarz
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.
Fredric Joseph Schwarz III, who also goes by Fred Schwarz III, Fredric Joseph III Schwarz, was a registered financial professional .
Fredric is a previously registered financial professional and started their career in finance in 1994. Fredric had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 6, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 2018 - June 30, 2020
THE LEADERS GROUP, INC.
December 2, 2010 - September 5, 2012
EAGLE ONE INVESTMENTS, LLC
April 2, 2009 - December 22, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
March 20, 2009 - December 22, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
January 1, 2007 - September 11, 2008
RIVERSOURCE DISTRIBUTORS, INC.
November 2, 2006 - January 1, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
June 10, 2004 - February 17, 2006
DIRECTED SERVICES LLC
March 26, 2004 - June 3, 2004
FISHER INVESTMENTS
January 4, 2000 - February 3, 2003
BNY MELLON SECURITIES CORPORATION
July 24, 1998 - December 15, 1999
CITISTREET EQUITIES LLC
July 1, 1996 - July 24, 1998
NATIONWIDE INVESTMENT SERVICES CORPORATION
May 24, 1994 - July 1, 1996
NATIONWIDE SECURITIES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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