Rachel A. 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.
Rachel Anne Schwartz, who also goes by Rachel Anne Rhodes, was a registered financial professional .
Rachel is a previously registered financial professional and started their career in finance in 2019. Rachel had worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 2021 - October 24, 2022
GENESIS GLOBAL TRADING, INC
October 9, 2019 - August 17, 2021
WOLFE RESEARCH SECURITIES
State Registrations and Notice Filings
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Exams
Series 7TO
Date: 10/9/2019
General Securities Representative ExaminationCurrent Firm
GENESIS GLOBAL TRADING, INC
CRD#: 136962 / SEC#: , 8-67055
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
Red Flags
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