Jason E. Schwartz
Professional summary
Jason Edward Schwartz was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jason is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Jason had worked at 6 firms, which includes LOCORR DISTRIBUTORS LLC, COREBRIDGE CAPITAL SERVICES INC., OPPENHEIMERFUNDS DISTRIBUTOR INC., VOYA INVESTMENTS DISTRIBUTOR LLC, COWEN AND COMPANY, FINANCIAL SQUARE PARTNERS.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2018 - April 5, 2021
LOCORR DISTRIBUTORS, LLC
July 9, 2012 - December 12, 2017
COREBRIDGE CAPITAL SERVICES, INC.
June 19, 2007 - October 18, 2011
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
July 1, 1999 - December 12, 2006
VOYA INVESTMENTS DISTRIBUTOR, LLC
July 1, 1998 - December 8, 1998
COWEN AND COMPANY
March 4, 1998 - July 1, 1998
FINANCIAL SQUARE PARTNERS
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LOCORR DISTRIBUTORS, LLC
CRD#: 41782 / SEC#: , 8-49568
Contact information
FINRA licenses (13 States and Territories)
Documents
Red Flags
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