Gary S. Schwartz
Professional summary
Gary Steven Schwartz is a registered financial professional currently at ARKADIOS CAPITAL located in Atlanta, Georgia.
Gary is registered as a RR (Registered Representative) and started their career in finance in 1996. Gary has worked at 9 firms and has passed the Series 63, Series 99TO, Series 57TO, Series 52TO, SIE, Series 87, Series 3, Series 55, Series 7, Series 14, Series 28, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gary Steven Schwartz's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 1, 2018 - Present
ARKADIOS CAPITAL
Office #1: 2827 Peachtree Rd Ne, Suite 510, Atlanta, GA 30305April 24, 2017 - September 20, 2018
PEACHCAP SECURITIES, INC.
December 5, 2016 - April 26, 2017
FIRST SOUTHERN, LLC
February 22, 2013 - April 26, 2017
FIRST SOUTHERN SECURITIES, LLC.
October 25, 2005 - January 29, 2013
YIELDQUEST SECURITIES, LLC
March 5, 2004 - December 31, 2004
TRANSCEND CAPITAL
March 29, 1999 - April 18, 2002
PROTRADER SECURITIES L.P.
December 16, 1998 - April 9, 1999
NEXA SECURITIES
January 17, 1996 - July 9, 1997
STERNE, AGEE & LEACH, INC.
State Registrations and Notice Filings
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Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 7/12/1999
Limited Representative-Equity Trader ExamSeries 28
Date: 12/31/2010
Introducing Broker/Dealer Financial Operations Principal ExaminationFINRA
Current Firm
ARKADIOS CAPITAL
CRD#: 282710 / SEC#: , 8-69729
Contact information
FINRA licenses (53 States and Territories)
Red Flags
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