Michael L. Shwarts
Professional summary
Michael Leon Shwarts is a registered financial professional currently at OBERON SECURITIES, LLC located in New York, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1999. Michael has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Leon Shwarts's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 23, 2019 - Present
OBERON SECURITIES, LLC
Office #1: 445 Park Avenue, Suite 4b,, New York, NY 10022June 13, 2011 - January 5, 2017
THE VERTICAL GROUP
July 6, 2009 - April 1, 2011
DOMINICK & DICKERMAN LLC
November 16, 2006 - July 18, 2007
NEWBRIDGE SECURITIES CORPORATION
September 1, 2005 - October 16, 2006
IPOR CAPITAL, LLC
November 20, 2002 - September 30, 2004
LADENBURG THALMANN & CO. INC.
January 7, 1999 - November 20, 2002
LADENBURG CAPITAL MANAGEMENT INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/21/2025)
(4/24/2019)
Exams
FINRA
Current Firm
OBERON SECURITIES, LLC
CRD#: 132598 / SEC#: , 8-66607
Contact information
FINRA licenses (22 States and Territories)
Documents
Red Flags
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