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LS

Laura U. Schwartz

SEAPORT GLOBAL SECURITIES
MIAMI BEACH, FL 33139
CRD#: 3123090
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LS
Laura Ullman SchwartzSEAPORT GLOBAL SECURITIES

Professional summary

Laura Ullman Schwartz, who also goes by Laura U Schwartz, is a registered financial professional currently at SEAPORT GLOBAL SECURITIES LLC located in Miami Beach, Florida.

Laura is registered as a RR (Registered Representative) and started their career in finance in 1998. Laura has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Laura U 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 Laura Ullman 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

February 27, 2012 - Present

SEAPORT GLOBAL SECURITIES LLC

Office #1: 407 Lincoln Road Suite 502, Miami Beach, FL 33139Office #2: 360 Madison Ave 22nd Floor, New York, NY 10017
BD
CRD#: 116270
MIAMI BEACH, FL
Past

September 21, 2009 - March 1, 2012

CRT CAPITAL GROUP LLC

BD
CRD#: 28830
NEW YORK, NY
Past

October 29, 2008 - September 16, 2009

SEAPORT GLOBAL SECURITIES LLC

BD
CRD#: 116270
NEW YORK, NY
Past

April 23, 2008 - October 24, 2008

TERWIN CAPITAL, LLC

BD
CRD#: 122463
NEW YORK, NY
Past

September 5, 2002 - November 3, 2005

ACA SECURITIES, L.L.C.

BD
CRD#: 113614
NEW YORK, NY
Past

October 29, 1998 - October 10, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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
Alabama
(3/16/2012)
RR
Alaska
(3/7/2012)
RR
Arizona
(3/14/2012)
RR
Arkansas
(3/7/2012)
RR
California
(2/28/2012)
RR
Colorado
(2/28/2012)
RR
Connecticut
(2/28/2012)
RR
Delaware
(3/6/2012)
RR
District of Columbia
(3/8/2012)
RR
Florida
(3/12/2012)
RR
Georgia
(3/9/2012)
RR
Hawaii
(3/9/2012)
RR
Idaho
(2/27/2012)
RR
Illinois
(2/27/2012)
RR
Indiana
(3/6/2012)
RR
Iowa
(3/6/2012)
RR
Kansas
(2/28/2012)
RR
Kentucky
(3/1/2012)
RR
Louisiana
(3/7/2012)
RR
Maine
(2/27/2012)
RR
Maryland
(3/2/2012)
RR
Massachusetts
(2/27/2012)
RR
Michigan
(3/6/2012)
RR
Minnesota
(3/6/2012)
RR
Mississippi
(3/8/2012)
RR
Missouri
(2/27/2012)
RR
Montana
(3/6/2012)
RR
Nevada
(3/15/2012)
RR
New Hampshire
(2/27/2012)
RR
New Jersey
(3/8/2012)
RR
New Mexico
(3/6/2012)
RR
New York
(3/6/2012)
RR
North Carolina
(3/2/2012)
RR
North Dakota
(3/5/2012)
RR
Ohio
(2/27/2012)
RR
Oklahoma
(3/7/2012)
RR
Oregon
(3/9/2012)
RR
Pennsylvania
(2/28/2012)
RR
Rhode Island
(2/27/2012)
RR
South Carolina
(3/6/2012)
RR
South Dakota
(3/6/2012)
RR
Tennessee
(3/6/2012)
RR
Texas
(3/7/2012)
RR
Utah
(2/28/2012)
RR
Vermont
(3/7/2012)
RR
Virginia
(2/29/2012)
RR
Washington
(2/28/2012)
RR
West Virginia
(3/9/2012)
RR
Wisconsin
(3/6/2012)
RR
Wyoming
(2/27/2012)

Exams

State Security Law Exam
RR
Series 63
Date: 5/21/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/27/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/17/2002
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

SG
SEAPORT GLOBAL SECURITIES LLC
PERICLES CAPITAL | SP CREDIT DIRECT LLC | SEAPORT RESEARCH PARTNERS | SEAPORT GLOBAL SECURITIES LLC | SEAPORT GLOBAL | SEA PORT GROUP SECURITIES, LLC

CRD#: 116270 / SEC#: , 8-53535

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

Main Address
360 Madison Ave 22nd Floor, New York, NY 10017
Mailing Address
360 Madison Ave 22nd Floor, New York, NY 10017
Phone number
(212) 616-7700
Established
Delaware since 05/04/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SEAPORT GLOBAL HOLDINGS LLCPARENT COMPANY
MEAGHER, MICHAEL JEFFERSONCEO1755168
MEYER, MICHAEL JOHNFIXED INCOME TRADING SUPERVISOR1746788
SMITH, STEPHEN CORCORANTREASURER1248750
WITTHAUT, MARKUS CLEMENSFINOP/CCO/CFO/PFO4480831

Disclosures

Regulatory Event3

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

SEAPORT GLOBAL SECURITIES LLC

CRD#: 116270Miami Beach, FL 33139

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