Herbert Schweitzer
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.
Herbert Schweitzer was a registered financial professional .
Herbert is a previously registered financial professional and started their career in finance in 1972. Herbert had worked at 2 firms .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 1983 - January 30, 2003
UBS CAPITAL MARKETS L.P.
June 12, 1972 - June 18, 1973
GODNICK & SON 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
Current Firm
UBS CAPITAL MARKETS L.P.
CRD#: 2692 / SEC#: , 8-13535
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS, INC | GENERAL PARTNER | |
| UBS AMERICAS, INC. | LIMITED PARTNER | |
| CS CAPITAL MARKETS & CO. | GENERAL PARTNER OF SCHWAB CAPITAL MARKETS L.P. | |
| LEIBOWITZ, LAWRENCE EDWARD | CO-EXECUTIVE VICE PRESIDENT | 2024745 |
| MCISAAC, DANIEL THOMAS | EXECUTIVE DIRECTOR, CFO, HEAD OF REGULATORY REPORTING | 1543499 |
| MECANE, JOSEPH MICHAEL | VICE PRESIDENT & COO | 3114744 |
| SIMMES, STEPHEN ANDREW | COMPLIANCE DIRECTOR | 4319792 |
| SOUNDVIEW TECHNOLOGY GROUP, INC. | LIMITED PARTNER OF UBS CAPITAL MARKETS, L.P. |
Disclosures
| Regulatory Event | 27 |
Red Flags
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