Samuel H. Schwartz
Professional summary
Samuel Henry Schwartz, who also goes by Sam Schwartz, Samuel H Schwartz, is a registered financial professional currently at MIZUHO SECURITIES USA LLC located in New York, New York and GREENHILL & CO., LLC located in New York, New York.
Samuel is registered as a RR (Registered Representative) and started their career in finance in 1994. Samuel has worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Samuel Henry Schwartz's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 2, 2020 - Present
MIZUHO SECURITIES USA LLC
Office #1: 1271 Avenue Of The Americas, New York, NY 10020December 6, 2023 - Present
GREENHILL & CO., LLC
Office #1: 1271 Avenue Of The Americas, New York, NY 10020April 18, 2020 - June 30, 2020
BEQUIA SECURITIES, LLC
September 18, 2018 - April 8, 2020
BRYANT PARK CAPITAL SECURITIES, INC.
May 26, 2005 - January 20, 2017
CREDIT SUISSE SECURITIES (USA) LLC
January 17, 2003 - June 23, 2005
BRYANT PARK CAPITAL SECURITIES, INC.
September 14, 1998 - March 4, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 11, 1994 - July 24, 1998
CREDIT SUISSE SECURITIES (USA) 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
(10/26/2020)
(10/23/2020)
(10/19/2020)
(10/20/2020)
(7/2/2020)
(10/20/2020)
(10/29/2020)
(10/27/2020)
(10/1/2020)
(1/7/2021)
(10/6/2020)
(10/16/2020)
(9/28/2020)
(12/16/2020)
(7/13/2020)
(7/2/2020)
(7/9/2020)
(8/3/2020)
(10/19/2020)
(7/2/2020)
(7/6/2020)
(7/2/2020)
(7/6/2020)
(10/16/2020)
(7/6/2020)
(7/6/2020)
(7/2/2020)
(10/20/2020)
(10/22/2020)
(7/10/2020)
(8/5/2020)
(1/21/2021)
(10/15/2020)
(12/19/2023)
(11/25/2020)
(7/2/2020)
(10/16/2020)
(7/7/2020)
(7/6/2020)
(7/10/2020)
(7/7/2020)
(10/22/2020)
(11/19/2020)
(10/16/2020)
(7/13/2020)
(7/2/2020)
(10/19/2020)
(7/2/2020)
(10/22/2020)
(10/19/2020)
(7/6/2020)
(12/18/2020)
Exams
Series 79TO
Date: 8/20/2020
Investment Banking Registered Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
GREENHILL & CO., LLC
CRD#: 40290 / SEC#: , 8-49000
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GREENHILL & CO., INC. | OWNER | |
| DALY, BRENDAN GERARD | CHIEF COMPLIANCE OFFICER | 1823142 |
| FALEIRO, GITANJALI PINTO | GENERAL COUNSEL | 4250865 |
| KATZ, MICHAL | MANGING DIRECTOR - HEAD OF INVESTMENT BANKING | 2813944 |
| LASKY, MARK RICHARD | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, FINOP | 6005542 |
| MIZUHO SECURITIES USA LLC | MANAGER | 19647 |
| RIZZIERI, GERALD ANTHONY | CHIEF EXECUTIVE OFFICER | 1751181 |
Disclosures
| Regulatory Event | 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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