Stephen 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.
Stephen Schwartz was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1972. Stephen had worked at 10 firms and has passed the Series 63, Series 1, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 1996 - March 11, 2002
WERBEL-ROTH SECURITIES, INC.
January 30, 1996 - April 24, 1996
AIBC INVESTMENT SERVICES CORPORATION
July 27, 1993 - January 24, 1996
SEABOARD SECURITIES, INC.
January 3, 1989 - June 23, 1993
CONTINENTAL BROKER-DEALER CORP.
June 23, 1988 - October 5, 1988
HIBBARD BROWN & CO., INC.
September 9, 1985 - June 8, 1987
AUSTIN, DAVENPORT ASSOCIATES, INC.
July 9, 1979 - August 9, 1980
FIRST EASTERN EQUITY CORP.
July 7, 1976 - July 31, 1986
VERRILLI ALTSCHULER SCHWARTZ INC.
April 29, 1974 - August 28, 1976
WINDSOR BENNETT CAPITAL GROUP CORP.
January 1, 1972 - June 4, 1974
MAYFLOWER SECURITIES CO., 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
Exams
Series 1
Date: 12/22/1971
Registered Representative ExaminationF04
Date: 3/25/1976
Financial Principal ExaminationSeries 00
Date: 3/9/1972
General Securities Principal ExaminationCurrent Firm
WERBEL-ROTH SECURITIES, INC.
CRD#: 7636 / SEC#: , 8-22648
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Arbitration | 2 |
Red Flags
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