Alexander Shvarts
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.
Alexander Shvarts was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 2006. Alexander had worked at 4 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2011 - February 27, 2012
LEGEND TRADING, LLC
May 11, 2010 - October 18, 2010
GENESIS SECURITIES, LLC
July 19, 2006 - May 12, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
May 16, 2006 - July 11, 2006
G-2 TRADING,LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LEGEND TRADING, LLC
CRD#: 150567 / SEC#: , 8-68269
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
