Marc 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.
Marc Schwartz, who also goes by Marc Alan Schwartz, Mark Schwartz, was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 2018. Marc had worked at 1 firm and has passed the SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2018 - February 7, 2019
UCAP AMERICAS
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
Current Firm
UCAP AMERICAS
CRD#: 173643 / SEC#: , 8-69543
Contact information
FINRA licenses (19 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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