Stephen W. 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 William Schwartz was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1970. Stephen had worked at 18 firms and has passed the Series 63, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 1994 - October 11, 1994
H.J. MEYERS & CO., INC.
August 6, 1993 - June 20, 1994
BEACON SECURITIES, INC.
August 12, 1992 - June 29, 1993
SUPPES SECURITIES, INC.
January 20, 1992 - June 18, 1992
MAYFAIR SECURITIES LIMITED
November 29, 1989 - January 1, 1992
M. RIMSON & CO., INC.
September 27, 1989 - November 7, 1989
STRATTON OAKMONT INC.
February 27, 1989 - October 23, 1989
FIRST SWISS INTERNATIONAL SECURITIES CORPORATION
April 26, 1988 - June 23, 1989
INDIVIDUAL'S SECURITIES LTD.
August 31, 1987 - October 11, 1988
HAMILTON, GRANT & COMPANY, INC.
February 5, 1987 - March 8, 1988
TAYLOR LOEB & CO., INC.
September 19, 1985 - January 2, 1987
HAMILTON, GRANT & COMPANY, INC.
February 10, 1984 - July 1, 1985
WEAVER JOHNSON & COMPANY,INC.
August 15, 1983 - January 6, 1984
GATTINI & CO.
February 14, 1983 - June 9, 1983
E.C. FARNSWORTH & COMPANY, INC.
January 19, 1981 - February 2, 1983
ROONEY, PACE INC.
April 29, 1976 - January 14, 1978
NEUBERGER SECURITIES CORP.
September 25, 1975 - May 3, 1976
SILVER, GRAY & CO., INC.
June 1, 1972 - January 25, 1973
N. R. MAISON & CO., INC.
April 8, 1970 - February 14, 1972
AUSTIN JAMES
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: 7/28/1967
Registered Representative ExaminationCurrent Firm
H.J. MEYERS & CO., INC.
CRD#: 15609 / SEC#: , 8-32427
Contact information
Documents
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.
