Alan D. Schwartz
Professional summary
Alan David Schwartz is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in New York, New York.
Alan is registered as a RR (Registered Representative) and started their career in finance in 1973. Alan has worked at 7 firms and has passed the Series 7TO, Series 79TO, SIE, Series 6, Series 41, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alan David Schwartz's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 22, 2009 - Present
GUGGENHEIM SECURITIES, LLC
Office #1: 330 Madison Avenue, New York, NY 10017September 8, 2008 - June 22, 2009
ROTHSCHILD & CO US INC.
August 20, 1991 - September 19, 2008
J.P. MORGAN CLEARING CORP.
March 26, 1990 - October 29, 1993
BEAR STEARNS GLOBAL ASSET TRADING, LTD
March 1, 1976 - September 19, 2008
J.P. MORGAN SECURITIES LLC
May 23, 1974 - March 21, 1976
SCHRODER & CO. INC.
January 2, 1973 - May 23, 1974
R. W. PRESSPRICH & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/2/2009)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 41
Date: 2/4/1980
NYSE Allied Member ExaminationSeries 1
Date: 12/21/1972
Registered Representative ExaminationFINRA
Investors' Exchange LLC
Nasdaq Stock Market
Current Firm
GUGGENHEIM SECURITIES, LLC
CRD#: 40638 / SEC#: , 8-49107
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINKS HOLDINGS, LLC | MEMBER | |
| GUGGENHEIM MANAGER, INC. | MANAGING MEMBER | |
| LOWERY WHILLE, TRACY | CHIEF COMPLIANCE OFFICER | 2872693 |
| MILLSTEIN, JAMES E. | CO-CHARIMAN | 4270577 |
| SCHWARTZ, ALAN DAVID | CO-CHAIRMAN | 416184 |
| SCHWARTZ, ANDREW JON | CHIEF FINANCIAL OFFICER | 5121914 |
| TSOU, SUSAN | FINOP & PRINCIPAL FINANCIAL OFFICER | 6187001 |
| VAN LITH, MARK ALAN | CHEIF EXECUTIVE OFFICER | 2263510 |
| WINICK, HOWARD NEIL | PRINCIPAL OPERATIONS OFFICER | 1871689 |
Disclosures
| Regulatory Event | 10 |
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