Joshua N. Schwartz
Professional summary
Joshua Nathaniel Schwartz is a registered financial professional currently at EAST WIND SECURITIES, LLC located in New York, New York.
Joshua is registered as a RR (Registered Representative) and started their career in finance in 1995. Joshua has worked at 5 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joshua Nathaniel Schwartz's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 13, 2009 - Present
EAST WIND SECURITIES, LLC
Office #1: 810 Seventh Avenue 35th Floor, New York, NY 10019Office #2: 810 Seventh Avenue 35th Floor, New York, NY 10019May 8, 2008 - January 26, 2009
PICKWICK CAPITAL PARTNERS, LLC
September 13, 2006 - May 9, 2008
GRAND CAPITAL CORP.
January 9, 2004 - February 3, 2006
H.C.WAINWRIGHT & CO., LLC
January 25, 1995 - November 9, 2001
J.P. MORGAN SECURITIES 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
(3/18/2009)
(11/1/2011)
(3/21/2013)
(3/16/2009)
(3/21/2014)
(3/4/2009)
(7/11/2013)
(1/14/2009)
(7/29/2015)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
EAST WIND SECURITIES, LLC
CRD#: 148032 / SEC#: , 8-67955
Contact information
FINRA licenses (12 States and Territories)
Red Flags
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