Matthew D. 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.
Matthew David Schwartz, who also goes by Matthew Schwartz, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2014. Matthew had worked at 3 firms and has passed the Series 63, SIE, Series 22 and Series 39 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2017 - March 17, 2018
FORIS CAPITAL US LLC
September 29, 2015 - July 5, 2017
GEM SECURITIES, LLC
October 24, 2014 - October 1, 2015
HARBOR LIGHT SECURITIES, LLC
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
Current Firm
FORIS CAPITAL US LLC
CRD#: 282331 / SEC#: , 8-69712
Contact information
FINRA licenses (53 States and Territories)
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.
