CS
Craig M. Schwabe
H.C.WAINWRIGHT & CO.
New York, NY 10022
Some features on this profile are disabled
CRD#: 3137679
CS
Professional summary
Craig Michael Schwabe is a registered financial professional currently at H.C.WAINWRIGHT & CO., LLC located in New York, New York.
Craig is registered as a RR (Registered Representative) and started their career in finance in 2006. Craig has worked at 5 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Craig Michael Schwabe's 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®
NoneExperience
Current
April 15, 2013 - Present
H.C.WAINWRIGHT & CO., LLC
Office #1: 430 Park Avenue 4th Floor, New York, NY 10022Office #2: 430 Park Avenue 4th Floor, New York, NY 10022BD
CRD#: 375
New York, NY
Past
June 28, 2021 - May 15, 2024
STOCKBLOCK SECURITIES
BD
CRD#: 307304
New York, NY
Past
March 13, 2017 - May 15, 2024
RODMAN & RENSHAW, LLC
BD
CRD#: 281264
New York, NY
Past
September 18, 2012 - April 17, 2013
DAWSON JAMES SECURITIES, INC.
BD
CRD#: 130645
BOCA RATON, FL
Past
March 24, 2006 - September 14, 2012
RODMAN & RENSHAW, LLC
BD
CRD#: 16415
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(11/12/2013)
RR
Alaska(11/12/2013)
RR
Arizona(11/12/2013)
RR
Arkansas(11/12/2013)
RR
California(9/11/2013)
RR
Colorado(9/11/2013)
RR
Connecticut(10/31/2013)
RR
Delaware(11/12/2013)
RR
District of Columbia(11/12/2013)
RR
Florida(10/31/2013)
RR
Georgia(11/12/2013)
RR
Hawaii(11/12/2013)
RR
Idaho(11/12/2013)
RR
Illinois(10/31/2013)
RR
Indiana(10/31/2013)
RR
Iowa(11/12/2013)
RR
Kansas(11/12/2013)
RR
Kentucky(11/12/2013)
RR
Louisiana(11/12/2013)
RR
Maine(11/12/2013)
RR
Maryland(11/12/2013)
RR
Massachusetts(10/31/2013)
RR
Michigan(11/12/2013)
RR
Minnesota(10/31/2013)
RR
Mississippi(11/12/2013)
RR
Missouri(11/12/2013)
RR
Montana(11/12/2013)
RR
Nebraska(11/12/2013)
RR
Nevada(11/12/2013)
RR
New Hampshire(11/12/2013)
RR
New Jersey(10/31/2013)
RR
New Mexico(11/12/2013)
RR
New York(4/15/2013)
RR
North Carolina(11/12/2013)
RR
North Dakota(11/12/2013)
RR
Ohio(11/12/2013)
RR
Oklahoma(11/12/2013)
RR
Oregon(11/12/2013)
RR
Pennsylvania(10/31/2013)
RR
Puerto Rico(11/12/2013)
RR
Rhode Island(11/12/2013)
RR
South Carolina(11/12/2013)
RR
South Dakota(11/12/2013)
RR
Tennessee(11/12/2013)
RR
Texas(10/31/2013)
RR
Utah(11/12/2013)
RR
Vermont(11/12/2013)
RR
Virgin Islands(12/11/2018)
RR
Virginia(11/12/2013)
RR
Washington(11/12/2013)
RR
West Virginia(11/12/2013)
RR
Wisconsin(11/12/2013)
RR
Wyoming(9/11/2013)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
H.C.WAINWRIGHT & CO., LLC
H. C. WAINWRIGHT & CO. | WAINWRIGHT H C & CO INC | RODMAN & RENSHAW | H.C.WAINWRIGHT & CO., LLC | H.C. WAINWRIGHT & CO., INC. | H.C WAINWRIGHT & CO., LLC
CRD#: 375 / SEC#: , 8-43115
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
430 Park Avenue 4th Floor, New York, NY 10022
Mailing Address
430 Park Avenue 4th Floor, New York, NY 10022
Phone number
(212) 356-0500
Established
Delaware since 04/10/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 16 |
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.
