Eric R. Schwartz
Professional summary
Eric Robert Schwartz, who also goes by Eric R Schwartz, is a registered financial professional currently at FIRST FINANCIAL SECURITIES OF AMERICA, INC. located in Georgetown, Texas.
Eric is registered as a RR (Registered Representative) and started their career in finance in 2007. Eric has worked at 3 firms and has passed the Series 66, Series 6TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Eric Robert Schwartz's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 6, 2011 - Present
FIRST FINANCIAL SECURITIES OF AMERICA, INC.
Office #1: 4500 Williams Drive Ste. 212-424, Georgetown, TX 78633October 23, 2008 - March 16, 2011
CHASE INVESTMENT SERVICES CORP.
October 23, 2008 - March 16, 2011
CHASE INVESTMENT SERVICES CORP.
September 20, 2007 - October 24, 2008
UBS FINANCIAL SERVICES INC.
August 30, 2007 - October 24, 2008
UBS FINANCIAL SERVICES 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
(11/13/2012)
(11/13/2012)
(4/6/2011)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
FIRST FINANCIAL SECURITIES OF AMERICA, INC.
CRD#: 13642 / SEC#: , 8-29565
Contact information
FINRA licenses (27 States and Territories)
Direct owners and executive officers
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.
