Neil P. 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.
Neil Patrick Schwartz was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 2012. Neil had worked at 1 firm and has passed the Series 63, Series 7 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2012 - February 21, 2013
MM GLOBAL 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 62
Date: 4/18/2012
Corporate Securities Limited Representative ExaminationCurrent Firm
MM GLOBAL SECURITIES, INC.
CRD#: 2509 / SEC#: , 8-11988
Contact information
FINRA licenses (12 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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