Erich R. Schwandt
Professional summary
Erich Raymond Luke Schwandt, who also goes by Luke Schwandt, is a registered financial professional currently at CASEY SECURITIES LLC located in Greenbrae, California.
Erich is registered as a RR (Registered Representative) and started their career in finance in 2006. Erich has worked at 3 firms and has passed the Series 63, Series 57TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Erich Raymond Luke Schwandt's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 2, 2023 - Present
CASEY SECURITIES LLC
Office #1: 100 Drakes Landing Road Building 100a - 2nd Floor Suite 210, Greenbrae, CA 94904January 3, 2018 - July 14, 2023
CASEY SECURITIES LLC
September 3, 2015 - December 31, 2017
X-CHANGE FINANCIAL ACCESS, LLC
June 5, 2014 - August 21, 2015
NEW ALBION PARTNERS LLC
October 5, 2006 - August 21, 2015
CASEY SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/13/2024)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamBOX Exchange LLC
FINRA
Current Firm
CASEY SECURITIES LLC
CRD#: 35230 / SEC#: , 8-21205
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 19 |
Red Flags
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Company Information
CASEY SECURITIES LLC
CRD#: 35230Greenbrae, CA 94904TRUST BUT VERIFY
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