Charles R. 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.
Charles Richard Schwarz was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1974. Charles had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 3, Series 1, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 25, 1995 - April 10, 2015
ZIONS DIRECT, INC.
April 30, 1993 - January 12, 1994
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
October 9, 1992 - March 11, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 25, 1987 - September 3, 1991
AUBREY G. LANSTON & CO., INC.
June 4, 1974 - January 31, 1978
CREDIT SUISSE SECURITIES (USA) LLC
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: 6/3/1974
Registered Representative ExaminationCurrent Firm
ZIONS DIRECT, INC.
CRD#: 17776 / SEC#: , 8-35721
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ZIONS BANCORPORATION, N.A. | PARENT COMPANY | |
| BURDISS, PAUL EDWARD | BOARD MEMBER | 7267112 |
| HASH, JENNIFER KYLE | CHIEF COMPLIANCE OFFICER | 4123554 |
| KYRIAKAKIS, CHRISTOPHER | BOARD MEMBER | 8020162 |
| MACDONALD, MICHAEL WHITNEY | PRESIDENT / CHIEF EXECUTIVE OFFICER | 4533843 |
| MOORE, RYAN D | FINOP | 7216248 |
| RICHARDS, ROBERT RYAN | BOARD MEMBER | 8021252 |
| STEWARD, DEREK STRIBLING | BOARD MEMBER | 8022102 |
| YU, THOMAS | BOARD MEMBER | 7994635 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 3 |
Red Flags
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