Jack F. Schwartz
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jack Fredric Schwartz was a registered financial professional .
Jack is a previously registered financial professional and started their career in finance in 1968. Jack had worked at 7 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 15, PC, Series 5, Series 1, Series 53, Series 4, Series 24 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 12, 2007 - January 16, 2024
WELLS FARGO CLEARING SERVICES, LLC
October 3, 2005 - January 16, 2024
WELLS FARGO CLEARING SERVICES, LLC
August 8, 2000 - October 18, 2005
CITIGROUP GLOBAL MARKETS INC.
April 23, 1981 - August 8, 2000
PRUDENTIAL EQUITY GROUP, LLC
April 2, 1979 - May 3, 1981
LEHMAN BROTHERS INC.
July 11, 1974 - March 16, 1979
BRUNS, NORDEMAN, REA & CO.
December 12, 1973 - August 19, 1975
W. E. HUTTON & CO.
September 25, 1968 - January 21, 1974
NEWBURGER, LOEB & CO., INC.
Primary Firm SEC Registration
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 15
Date: 3/7/1983
Foreign Currency Options ExaminationPC
Date: 4/14/1982
AMEX Put and Call ExamSeries 5
Date: 11/19/1981
Interest Rate Options ExaminationSeries 1
Date: 9/20/1968
Registered Representative ExaminationSeries 12
Date: 8/15/1981
NYSE Branch Manager ExaminationCurrent Firm
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRONK, DARRELL | HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL | 2498892 |
| GINDI, SOL | PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL | 4903526 |
| KARANIK, ERIK ANTHONY | BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL | 5616656 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS | 5385585 |
| SAUNDERS, DAVID WARD | DESIGNATED STATE PRINCIPAL | 2448617 |
| SOMESHWAR, PRASANNA | HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL | 7491790 |
| SOMMERS, BARRY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2301454 |
| TSAMADIAS, CHRISTOS G | CHIEF COMPLIANCE OFFICER | 5433568 |
Regulatory assets under management
| Total Number of Accounts | 1,327,695 |
| AUM (Assets Under Management) | $ 606,037,831,365 |
Disclosures
| Regulatory Event | 182 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
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.
