Joshua E. 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.
Joshua E Schwartz was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2005. Joshua had worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 3 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2013 - March 28, 2018
GATES CAPITAL CORPORATION
October 3, 2005 - January 15, 2009
COWEN EQUITY FINANCE LP
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 12/6/2005
Limited Representative-Equity Trader ExamCurrent Firm
GATES CAPITAL CORPORATION
CRD#: 29582 / SEC#: , 8-44414
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
Red Flags
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