Steven 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.
Steven Schwartz was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2002. Steven had worked at 3 firms and has passed the Series 63, SIE, Series 87 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
June 13, 2007 - October 25, 2019
FIRST ANALYSIS SECURITIES CORPORATION
December 2, 2005 - May 31, 2007
KEYBANC CAPITAL MARKETS INC.
January 25, 2002 - March 15, 2002
ADVANCED EQUITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FIRST ANALYSIS SECURITIES CORPORATION
CRD#: 10446 / SEC#: , 8-27350
Contact information
FINRA licenses (30 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST ANALYSIS CORPORATION | PARENT COMPANY | |
| HESS, DAVID CLARENCE | CHIEF COMPLIANCE OFFICER | 2187717 |
| KHAN, RIAAD SYED | CHIEF FINANCIAL OFFICER / FINOP | 6759962 |
| LESHUK, DAVID JOHN | DIRECTOR | 2935779 |
| NICKLIN, FRANCIS OLIVER JR | CEO, MANAGING DIRECTOR & PRESIDENT | 347877 |
| NICKLIN, MATTHEW OLIVER | MANAGING DIRECTOR | 4216136 |
Disclosures
| Regulatory Event | 3 |
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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