Craig A. Schwalb
Professional summary
Craig Allen Schwalb, CIMA®, who also goes by Craig A Schwalb, is a registered financial professional currently at BROWN BROTHERS HARRIMAN INVESTMENTS, LLC located in New York, New York.
Craig is registered as a RR (Registered Representative) and started their career in finance in 2000. Craig has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Craig Allen Schwalb's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 20, 2016 - Present
BROWN BROTHERS HARRIMAN INVESTMENTS, LLC
Office #1: 140 Broadway, New York, NY 10005February 11, 2010 - August 5, 2016
DISTRIBUTION SERVICES, LLC
July 7, 2009 - August 5, 2016
SCOUT INVESTMENTS, INC.
September 9, 2008 - February 18, 2010
UMB FINANCIAL SERVICES, INC.
May 21, 2007 - August 1, 2008
COHEN & STEERS SECURITIES, LLC
October 7, 2005 - April 17, 2007
UST SECURITIES CORP.
March 24, 2004 - September 13, 2005
AMUNDI DISTRIBUTOR US, INC.
January 7, 2000 - March 16, 2000
SIGNATOR INVESTORS, 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
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Exams
FINRA
Current Firm
BROWN BROTHERS HARRIMAN INVESTMENTS, LLC
CRD#: 282732 / SEC#: , 8-69731
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROWN BROTHERS HARRIMAN & CO. | SOLE MEMBER | |
| GREIFENKAMP, DANIEL JOSEPH | CEO, CHAIRMAN OF THE BOARD | 2180478 |
| HUTSON, JOSHUA EYARE | CCO | 2912952 |
| KRUCZEK, ROBERT PATRICK | DIRECTOR | 2389311 |
| MESKIN, JEFFREY BRYAN | DIRECTOR | 2855280 |
| PUSTORINO, PAUL JAMES | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER | 5059093 |
| SCHOENFELD, JEFFREY ALAN | DIRECTOR | 2490214 |
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.
