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RS

Richard A. Schwartz

OLD CITY SECURITIES LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 2548970
RS

Professional summary

Richard Alan Schwartz is a registered financial professional currently at OLD CITY SECURITIES LLC located in New York, New York.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1995. Richard has worked at 5 firms and has passed the Series 63, Series 82TO, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Alan Schwartz's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 24, 2022 - Present

OLD CITY SECURITIES LLC

Office #1: 589 Fifth Avenue Ph, New York, NY 10017
BD
CRD#: 171910
New York, NY
Past

April 29, 2010 - August 31, 2010

MEESCHAERT CAPITAL MARKETS, INC.

BD
CRD#: 17012
NEW YORK, NY
Past

August 11, 2006 - October 5, 2011

RANGE GLOBAL LLC

BD
CRD#: 104393
NEW YORK CITY, NY
Past

June 28, 2001 - August 15, 2006

CARLIN EQUITIES, LLC

BD
CRD#: 31295
NEW YORK, NY
Past

June 26, 1995 - May 21, 1998

BERNARD L. MADOFF INVESTMENT SECURITIES LLC

BD
CRD#: 2625
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(3/6/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 8/1/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 12/29/2021
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 1/10/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 3/19/2003
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 12/28/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/9/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

OC
OLD CITY SECURITIES LLC
OLD CITY SECURITIES LLC

CRD#: 171910 / SEC#: , 8-69488

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
589 Fifth Avenue Ph, New York, NY 10017
Mailing Address
445 Central Avenue, Suite 328, Cedarhurst, NY 11516
Phone number
(212) 671-1976
Established
New York since 04/25/2014
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
OLD CITY SECURITIES HOLDINGS GPHOLDING COMPANY
BARNETT, TREVOR CLARKMEMBER4722196
DAMSKI, SETH ADAMFOUNDING MEMBER2940303
FELDMAN, EYTAN DOVMEMBER, CCO, EXECUTIVE REP, AML SUPERVISOR5708084
MARRONE, MICHAEL THOMASFINOP
SIRIGNANO, GEORGE AMERICUSMANAGING MEMBER6678999

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

OLD CITY SECURITIES LLC

CRD#: 171910New York, NY 10017

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