Howard W. Schwartz
Professional summary
Howard William Schwartz was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Howard is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Howard had worked at 1 firm, which includes SANDGRAIN SECURITIES LLC.
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Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 1999 - April 3, 2001
SANDGRAIN SECURITIES LLC
April 6, 1998 - April 8, 1999
SANDGRAIN SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
SANDGRAIN SECURITIES LLC
CRD#: 26004 / SEC#: , 8-42262
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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