Michael A. Schwartz

HOULIHAN LOKEY CAPITAL

NEW YORK, NY 10167

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CRD#: 4799995

Professional summary

Michael Alan Schwartz is a registered financial professional currently at HOULIHAN LOKEY CAPITAL, INC. located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2004. Michael has worked at 6 firms and has passed the Series 63, SIE, Series 79, Series 87, Series 86, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

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Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 22, 2024 - Present

HOULIHAN LOKEY CAPITAL, INC.

Office #1: 245 Park Avenue 20th Floor, New York, NY 10167

CRD#: 17708

NEW YORK, NY

Past

March 31, 2022 - January 23, 2024

LAZARD FRERES & CO. LLC

CRD#: 2528

NEW YORK, NY

Past

October 6, 2016 - March 31, 2022

LAZARD MIDDLE MARKET LLC

CRD#: 146092

NEW YORK, NY

Past

January 26, 2010 - October 14, 2016

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

May 3, 2006 - December 31, 2009

RAMIUS SECURITIES LLC

CRD#: 41076

NEW YORK, NY

Past

August 6, 2004 - May 1, 2006

JEFFERIES LLC

CRD#: 2347

SHORT HILLS, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(4/22/2024)

Exams

State Security Law Exam

Series 63

Date: 8/24/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 7/18/2014

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 87

Date: 3/24/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 86

Date: 1/13/2005

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 7

Date: 8/5/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/20/2016

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

HOULIHAN LOKEY CAPITAL, INC.

CRD#: 17708 / SEC#: , 8-35643

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

10250 Constellation Boulevard 5th Floor, Los Angeles, CA 90067

Mailing Address

10250 Constellation Boulevard 5th Floor, Los Angeles, CA 90067

Phone number

(310) 553-8871

Established

California since 01/09/1996

Firm type

Corporation

Fiscal year end

March

Firm Size

Large

# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
HOULIHAN LOKEY AMERICAS (HOLDINGS) LLC	DIRECT OWNER OF HOULIHAN LOKEY CAPITAL, INC.
ADELSON, SCOTT JOSEPH	PRESIDENT/CEO AND DIRECTOR (HLI)	2147111
ALLEY, JAMES LINDSEY	TREASURER/CHIEF FINANCIAL OFFICER (HLI)	2394515
BEISER, SCOTT LEE	VICE PRESIDENT/CO-CHAIRMAN AND DIRECTOR (HLI)	2026185
BEN-CANAAN, MARC AVI	CCO/AMLCO	4885345
CRAIN, CHRISTOPHER MADISON	SECRETARY/GENERAL COUNSEL
TANIGUCHI, EDWARD NEAL	CHIEF FINANCIAL OFFICER, FINOP	4632869
YAMARONE, CHARLES ANTHONY III	CHIEF CORP.GOVERNANCE & COMPLIANCE OFFICER, HLI	2190400

Disclosures

Regulatory Event

Red Flags

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Michael A. Schwartz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Alan Schwartz's CRS (Customer Relationship Summary).

Certified licenses

Experience

LAZARD FRERES & CO. LLC

LAZARD MIDDLE MARKET LLC

COWEN AND COMPANY

RAMIUS SECURITIES LLC

JEFFERIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/24/2004

SIE

Date: 10/1/2018

Series 79

Date: 7/18/2014

Series 87

Date: 3/24/2005

Series 86

Date: 1/13/2005

Series 7

Date: 8/5/2004

Series 24

Date: 12/20/2016

FINRA

Current Firm

HOULIHAN LOKEY CAPITAL, INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

HOULIHAN LOKEY CAPITAL, INC.

TRUST BUT VERIFY

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