Giuseppe M. Schwarz
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.
Giuseppe Maggi Schwarz, who also goes by Guiseppe Maggi Schwarz, Guiseppe Maggi Schwarz, was a registered financial professional .
Giuseppe is a previously registered financial professional and started their career in finance in 2012. Giuseppe had worked at 3 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2016 - May 10, 2019
CV BROKERAGE, INC
October 28, 2013 - September 26, 2016
TIGRESS FINANCIAL PARTNERS, LLC
January 26, 2012 - May 29, 2012
RIVERBANK CAPITAL SECURITIES, 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
Exams
Series 55
Date: 5/29/2015
Limited Representative-Equity Trader ExamCurrent Firm
CV BROKERAGE, INC
CRD#: 462 / SEC#: , 8-12429
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 10 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
