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CS

Craig H. Schwarten

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CRD#: 5255964
CS

Professional summary

Craig Harold Schwarten was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Craig is a previously registered financial professional and started their career in finance in 2007. Prior to being barred, Craig had worked at 1 firm, which includes FIRST UNION SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 24, 2007 - September 22, 2009

FIRST UNION SECURITIES, INC.

BD
CRD#: 129502
SHELTON, CT

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/1/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 62
Date: 1/23/2007
Corporate Securities Limited Representative Examination

Current Firm

FU
FIRST UNION SECURITIES, INC.
FIRST UNION SECURITIES, INC. | PURITAN SECURITIES, INC. | ICBS GLOBAL SECURITIES, INC.

CRD#: 129502 / SEC#: , 8-66229

BD
Terminated by SEC on 11/05/2011
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 08/14/2003
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FIRST UNION HOLDINGS, LLCSHAREHOLDER
GRUENBAUM, JERRYCEO, CCO & FINOP1604679
LAPKIN, NATHAN PERRYPRESIDENT3130455

Disclosures

Regulatory Event6

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.

Company Information

FIRST UNION SECURITIES, INC.

CRD#: 129502

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