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RS

Robert S. Schwab

OLD CITY SECURITIES LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 5480333
RS

Professional summary

Robert Shaughnessy Schwab, who also goes by Robert S Schwab, is a registered financial professional currently at OLD CITY SECURITIES LLC located in New York, New York.

Robert is registered as a RR (Registered Representative) and started their career in finance in 2008. Robert has worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 3, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Robert S Schwab

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

Click below to view Robert Shaughnessy Schwab's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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 20, 2021 - Present

OLD CITY SECURITIES LLC

Office #1: 589 Fifth Avenue Ph, New York, NY 10017
BD
CRD#: 171910
New York, NY
Past

July 29, 2024 - December 31, 2025

CAPINSIGHTS PARTNERS, LLC

RIA
CRD#: 327448
Chicago, IL
Past

January 4, 2024 - April 12, 2024

SHELTER ROCK CAPITAL GROUP LLC

BD
CRD#: 156753
NEW YORK, NY
Past

February 1, 2021 - May 6, 2021

DISTRIBUTION SERVICES, LLC

BD
CRD#: 25938
PORTLAND, ME
Past

September 15, 2011 - June 24, 2013

HATTERAS CAPITAL DISTRIBUTORS, LLC

BD
CRD#: 143365
RALEIGH, NC
Past

May 6, 2009 - September 2, 2011

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

March 21, 2008 - February 18, 2009

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
ANDOVER, MA

State Registrations and Notice Filings

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

RR
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

RR
Illinois
(4/20/2021)
RR
New York
(4/20/2021)
RR
Texas
(3/10/2022)
RR
Wisconsin
(3/10/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/29/2024
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/19/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/1/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/30/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 2/4/2014
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 6/11/2009
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/20/2008
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

OC
OLD CITY SECURITIES LLC
OLD CITY SECURITIES LLC

CRD#: 171910 / SEC#: , 8-69488

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
589 Fifth Avenue Ph, New York, NY 10017
Mailing Address
445 Central Avenue, Suite 328, Cedarhurst, NY 11516
Phone number
(212) 671-1976
Established
New York since 04/25/2014
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
OLD CITY SECURITIES HOLDINGS GPHOLDING COMPANY
BARNETT, TREVOR CLARKMEMBER4722196
DAMSKI, SETH ADAMFOUNDING MEMBER2940303
FELDMAN, EYTAN DOVMEMBER, CCO, EXECUTIVE REP, AML SUPERVISOR5708084
MARRONE, MICHAEL THOMASFINOP
SIRIGNANO, GEORGE AMERICUSMANAGING MEMBER6678999

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

OLD CITY SECURITIES LLC

CRD#: 171910New York, NY 10017

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