Andrew (. Schwarz
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.
Andrew (nmn) Schwarz, who also goes by Andrew Schwarz, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1971. Andrew had worked at 5 firms and has passed the Series 40 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - June 1, 2018
INTEGRAL DERIVATIVES, LLC
January 25, 2007 - January 13, 2009
AGS SPECIALISTS II, LLC
September 26, 2003 - February 7, 2007
AGS SPECIALISTS LLC
September 26, 2003 - January 16, 2009
AGS SPECIALIST PARTNERS
December 20, 1971 - April 8, 1977
MAY, BORG & COMPANY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 40
Date: 12/9/1971
Registered Principal ExaminationCurrent Firm
INTEGRAL DERIVATIVES, LLC
CRD#: 149087 / SEC#: , 8-68102
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
Red Flags
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