Oliver Schwarz
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.
Oliver Schwarz was a registered financial professional .
Oliver is a previously registered financial professional and started their career in finance in 1996. Oliver had worked at 4 firms and has passed the Series 65, Series 63, 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
July 2, 2012 - April 30, 2013
AWM GLOBAL ADVISORS
June 2, 2009 - July 22, 2010
MORGAN STANLEY
June 1, 2009 - July 22, 2010
MORGAN STANLEY
May 29, 2009 - July 16, 2009
CITIGROUP GLOBAL MARKETS INC.
May 28, 2009 - July 16, 2009
CITIGROUP GLOBAL MARKETS INC.
May 2, 1997 - May 29, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 19, 1996 - May 29, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
AWM GLOBAL ADVISORS
CRD#: 159094 / SEC#: 801-72824
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
AWM GLOBAL ADVISORS
CRD#: 159094 / SEC#: 801-72824
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 143 |
| AUM (Assets Under Management) | $ 90,545,310 |
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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