Michael Schwartz
Professional summary
Michael Schwartz, who also goes by Mike Schwartz, is a registered financial professional currently at RAINE SECURITIES LLC located in New York, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2020. Michael has worked at 2 firms and has passed the Series 63, Series 7TO, Series 79TO, Series 87, Series 86 and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Schwartz's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 6, 2024 - Present
RAINE SECURITIES LLC
Office #1: 65 East 55th Street 24th Floor, New York, NY 10022September 14, 2020 - May 10, 2022
UBS 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
(8/6/2024)
Exams
Series 7TO
Date: 8/23/2024
General Securities Representative ExaminationSeries 79TO
Date: 8/6/2024
Investment Banking Registered Representative ExaminationFINRA
Current Firm
RAINE SECURITIES LLC
CRD#: 137873 / SEC#: , 8-67121
Contact information
FINRA licenses (27 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAINE ADVISORS LLC | OWNER | |
| CHIANESE, ALFRED JOSEPH III | CHIEF OPERATING OFFICER | 6339436 |
| DOHERTY, JAMES HUGH | PRINCIPAL OPERATIONS OFFICER | 4197747 |
| GARDNER, BRANDON WADE | PRESIDENT | 5767814 |
| RAVITCH, JOSEPH | CO-CHIEF EXECUTIVE OFFICER | 2504532 |
| RISHER, ANGELA RENEE | CHIEF COMPLIANCE OFFICER | 6676957 |
| SHAW, ANTHONY | FINOP, PRINCIPAL FINANCIAL OFFICER | 7338445 |
| SINE, JEFFREY ALAN | CO-CHIEF EXECUTIVE OFFICER | 1557736 |
Red Flags
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