Brendan J. 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.
Brendan Joseph Schwartz was a registered financial professional .
Brendan is a previously registered financial professional and started their career in finance in 2004. Brendan had worked at 8 firms and has passed the Series 63 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
September 5, 2012 - September 28, 2012
JOHN THOMAS FINANCIAL
July 6, 2011 - August 23, 2012
SUMMER STREET RESEARCH PARTNERS
November 5, 2010 - June 1, 2011
SSC NY CORP.
August 3, 2010 - November 2, 2010
AEGIS CAPITAL CORP.
February 9, 2010 - September 2, 2010
GILFORD SECURITIES INCORPORATED
July 23, 2008 - February 18, 2009
HEDGECO SECURITIES, LLC
January 23, 2007 - July 2, 2008
JESUP & LAMONT SECURITIES CORP
October 18, 2004 - November 2, 2006
OPPENHEIMER & CO. 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
JOHN THOMAS FINANCIAL
CRD#: 40982 / SEC#: , 8-49254
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CASTELLANO, JOSEPH LOUIS | CHIEF COMPLIANCE OFFICER | 1158479 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 18 |
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.
