Arthur W. 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.
Arthur Warton Schwartz JR, who also goes by Tony Schwartz Jr, was a registered financial advisor .
Arthur is a previously registered financial advisor and started their career in finance in 1995. Arthur had worked at 6 firms and has passed the Series 65, Series 63, Series 55, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 2008 - April 19, 2011
BLOSSOM INVESTMENT MANAGEMENT, LLC
May 16, 2001 - July 17, 2001
MONARCH FINANCIAL CORPORATION OF AMERICA
February 2, 1998 - May 9, 2001
APEX CLEARING CORPORATION
October 14, 1997 - February 2, 1998
NASH, WEISS & CO.
June 18, 1996 - October 14, 1997
NASH, WEISS & CO.
October 3, 1995 - June 28, 1996
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 4/8/1999
Limited Representative-Equity Trader ExamCurrent firm
No current employment
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.
