Harvey M. Schwartz
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.
Harvey Mitchell Schwartz was a registered financial advisor .
Harvey is a previously registered financial advisor and started their career in finance in 2000. Harvey had worked at 4 firms and has passed the Series 65, Series 63, Series 3 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
October 14, 2009 - June 24, 2010
FUSION ANALYTICS SECURITIES LLC
September 20, 2004 - January 8, 2008
STANFORD GROUP COMPANY
September 20, 2004 - January 8, 2008
STANFORD GROUP COMPANY
June 3, 2003 - September 13, 2004
UBS FINANCIAL SERVICES INC.
May 30, 2003 - September 13, 2004
UBS FINANCIAL SERVICES INC.
December 5, 2000 - June 12, 2003
CITIGROUP GLOBAL MARKETS INC.
December 4, 2000 - June 12, 2003
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FUSION ANALYTICS SECURITIES LLC
CRD#: 124245 / SEC#: , 8-65649
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
| Judgment/Lien | 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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