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TS

Timothy M. Schwartz

PHILLIP CAPITAL
Chicago, IL 60604-2653
Some features on this profile are disabled
CRD#: 2816306
TS

Professional summary

Timothy Morris Schwartz, who also goes by Tim Morris Schwartz, Tim Schwartz, is a registered financial professional currently at PHILLIP CAPITAL INC. located in Chicago, Illinois.

Timothy is registered as a RR (Registered Representative) and started their career in finance in 1997. Timothy has worked at 8 firms and has passed the Series 66, Series 63, Series 99TO, Series 82TO, Series 57TO, SIE, Series 55, Series 7, Series 4, Series 24, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tim Morris Schwartz | Tim Schwartz

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Timothy Morris Schwartz's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 9, 2020 - Present

PHILLIP CAPITAL INC.

Office #1: 141 W. Jackson, Suite 1531a, Chicago, IL 60604-2653
BD
CRD#: 173869
Chicago, IL
Past

February 5, 2020 - August 24, 2020

NYLIFE SECURITIES LLC

BD
CRD#: 5167
DOWNERS GROVE, IL
Past

February 7, 2017 - October 22, 2019

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
Chicago, IL
Past

November 1, 2016 - October 22, 2019

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
Chicago, IL
Past

May 28, 2014 - December 5, 2014

MWA FINANCIAL SERVICES INC.

BD
CRD#: 112630
Plainfield, IL
Past

January 3, 2012 - April 18, 2013

PEAK6 VEGA MASTER FUND LLC

BD
CRD#: 158878
CHICAGO, IL
Past

June 17, 2011 - January 8, 2014

PEAK6 PERFORMANCE MANAGEMENT LLC

BD
CRD#: 137368
CHICAGO, IL
Past

May 26, 2006 - January 8, 2014

PEAK6 CAPITAL MANAGEMENT LLC

BD
CRD#: 43773
CHICAGO, IL
Past

March 27, 1997 - January 5, 2006

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Illinois
(8/7/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/1/2017
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/2/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 8/7/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 82TO
Date: 7/26/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 12/7/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 3/25/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 12/8/2005
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/6/2005
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 11/27/2000
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 5/22/2000
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA

Current Firm

PC
PHILLIP CAPITAL INC.
PHILLIP CAPITAL INC. | PHILLIPCAPITAL

CRD#: 173869 / SEC#: , 8-69558

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
141 W. Jackson, Suite 1531a, Chicago, IL 60604-2653
Mailing Address
141 W. Jackson, Suite 1531a, Chicago, IL 60604-2653
Phone number
(312) 356-9000
Established
Delaware since 04/30/2010
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (44 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PHILLIP CAPITAL (USA) PTE LTDOWNER
CARTER, DEREK DAVIDCFO4261872
CULLEN, TIMOTHY BRENNANCHIEF COMPLIANCE OFFICER5290046
FRAZIER, CAMERON PAYNEDIRECTOR6420648
LECCHINI, FILIPPOCHIEF EXECUTIVE OFFICER5875701
SCHROEDER, TODD ALLENCHIEF OPERATING OFFICER3203892

Disclosures

Regulatory Event6

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

PHILLIP CAPITAL INC.

CRD#: 173869Chicago, IL 60604-2653

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