Robert W. 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.
Robert William Schwarz was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1970. Robert had worked at 14 firms and has passed the Series 63, Series 7TO, SIE, PC, Series 5, Series 1, Series 30 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
January 28, 2021 - December 8, 2021
PEAK BROKERAGE SERVICES, LLC
May 15, 2002 - October 8, 2020
FSIC
June 15, 2000 - May 15, 2002
METROPOLITAN INVESTMENT SECURITIES, INC.
February 5, 1992 - December 13, 2021
SCS SYSTEMS, INC.
August 12, 1991 - July 19, 2000
PACIFIC HARBOR SECURITIES, INC.
January 3, 1990 - August 14, 1991
PRUDENTIAL EQUITY GROUP, LLC
November 22, 1977 - January 19, 1990
LEHMAN BROTHERS INC.
September 14, 1977 - November 22, 1977
SHEARSON HAYDEN STONE INC.
May 23, 1975 - September 19, 1977
MF GLOBAL INC.
February 7, 1974 - March 27, 1974
July 2, 1973 - March 27, 1974
DUPONT WALSTON, INCORPORATED
December 1, 1971 - April 23, 1976
DUPONT GLORE FORGAN INCORPORATED
July 1, 1971 - August 14, 1971
SWANTON SECURITIES, INC.
July 22, 1970 - July 11, 1971
MFB SECURITIES, 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 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 11/17/1981
AMEX Put and Call ExamSeries 5
Date: 10/17/1981
Interest Rate Options ExaminationSeries 1
Date: 7/14/1970
Registered Representative ExaminationCurrent Firm
PEAK BROKERAGE SERVICES, LLC
CRD#: 157045 / SEC#: , 8-68829
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEAK REPS, LLC | OWNER | |
| COKER, KAREN | CHIEF RISK OFFICER | 2731928 |
| MUELLER, CHRISTOPHER BRIAN | CHIEF OPERATIONS OFFICER | 2098597 |
| PHILLIPS, DAVID LEVERT | CHIEF INFORMATION SECURITY OFFICER | 2054858 |
| REYNOLDS, MATTHEW MARK | PRESIDENT/FINOP | 4077413 |
| RUDNICK, REGINA MARY | PRESIDENT/HEAD OF ADVISOR SERVICES | 2373530 |
| TAYLOR, CHRISTIAN GABRIEL | CHIEF COMPLIANCE OFFICER | 5462381 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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