Heather L. 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.
Heather Leigh Schwarz, who also goes by Heather Leigh Lopes, Heather Leigh Schwarz-lopes, was a registered financial professional .
Heather is a previously registered financial professional and started their career in finance in 2000. Heather had worked at 4 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 20, 2015 - December 31, 2016
EARLYSHARES MANAGEMENT LLC
March 4, 2013 - April 29, 2013
CAVU SECURITIES LLC
February 12, 2009 - January 7, 2013
WELLS FARGO CLEARING SERVICES, LLC
November 12, 2008 - January 7, 2013
WELLS FARGO CLEARING SERVICES, LLC
July 27, 2000 - May 26, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 26, 2000 - May 26, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
EARLYSHARES MANAGEMENT LLC
CRD#: 220518 / SEC#:
Contact information
Red Flags
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