Marc A. Schwartz
Professional summary
Marc Adam Schwartz, who also goes by Marc Schwartz, Marc Adam Schwartz, is a registered financial professional currently at HARRIS WILLIAMS located in New York, New York.
Marc is registered as a RR (Registered Representative) and started their career in finance in 2018. Marc has worked at 3 firms and has passed the Series 63, Series 7TO, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Marc Adam Schwartz's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 27, 2023 - Present
HARRIS WILLIAMS
Office #1: 600 Lexington Ave. 11th Floor, New York, NY 10022April 9, 2020 - August 3, 2023
SIXPOINT PARTNERS LLC
August 13, 2018 - March 30, 2020
BMO CAPITAL MARKETS CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/27/2023)
Exams
Series 7TO
Date: 12/8/2020
General Securities Representative ExaminationFINRA
Current Firm
HARRIS WILLIAMS
CRD#: 113930 / SEC#: , 8-53380
Contact information
FINRA licenses (45 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PNC BANK, NATIONAL ASSOCIATION | PARENT | |
| BALTIMORE, ROBERT MARTIN | BOARD MEMBER / CO-CEO | 4445610 |
| HART, JASON EDWARD HEATH | PRINCIPAL OPERATIONS OFFICER | 4173982 |
| HART, JASON EDWARD HEATH | FINOP | 4173982 |
| HART, JASON EDWARD HEATH | PRINCIPAL FINANCIAL OFFICER | 4173982 |
| LONG, GEORGE PHILLIP MR. | CHIEF LEGAL OFFICER AND SECRETARY OF THE BOARD | 5094038 |
| NEUNER, JOHN IV | BOARD MEMBER / CO-CEO | 4578584 |
| POGGI, PAUL THOMAS | CHIEF OPERATING OFFICER AND BOARD MEMBER | 5277661 |
| THOMAS, MICHAEL DUANE | BOARD MEMBER | 2992653 |
| VALENTINE, EDWARD WEST | CHAIRMAN OF THE BOARD OF MANAGERS | 2399981 |
| VAN DER WAAG, ASHLEY HOGUE | CHIEF COMPLIANCE OFFICER | 3079633 |
| WILLIAMS, JULIE ANN | BOARD MEMBER | 6040587 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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