Andrew L. Schwartz
Professional summary
Andrew Lee Schwartz is a registered financial professional currently at GEORGESON SECURITIES CORPORATION located in Jersey City, New Jersey.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 2001. Andrew has worked at 3 firms and has passed the Series 63, Series 66, Series 99TO, SIE, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Andrew Lee Schwartz's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 29, 2025 - Present
GEORGESON SECURITIES CORPORATION
Office #1: 111 Town Square Place 15th Floor, Jersey City, NJ 07310January 3, 2012 - April 4, 2022
GEORGESON SECURITIES CORPORATION
April 6, 2010 - April 29, 2011
BNY MELLON SECURITIES LLC
November 6, 2009 - December 31, 2011
BNY MELLON CAPITAL MARKETS, LLC
April 2, 2002 - August 22, 2002
BNY MELLON SECURITIES LLC
May 3, 2001 - November 13, 2009
BNY MELLON SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
GEORGESON SECURITIES CORPORATION
CRD#: 46749 / SEC#: , 8-51538
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GEORGESON LLC | 100% OWNER | |
| CHASSE, JEFFREY GEORGE | ASSISTANT TREASURER | 6383899 |
| CLEMONS, GREGORY JOE | ASSISTANT TREASURER | 7162929 |
| FRIERSON, SHEILA | BOARD DIRECTOR | 7463457 |
| FROMBERG, ROBERT MARC | SECRETARY | 6034320 |
| GRUBER, CATHERINE | ASSISTANT TREASURER | 7658317 |
| MOCOGNI, SHAWNA LEIGH | ASSISTANT TREASURER | 7164315 |
| NISLEY, CYNTHIA BLOUNT | PRESIDENT/DIRECTOR | 5369413 |
| PARK, JIN SOO | TREASURER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, AND FINANCIAL AND OPERATIONS PRINCIPAL | 4836106 |
| TSOUNAKIS, IAKOVOS | CHIEF COMPLIANCE OFFICER | 3259778 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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