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JS

Jerome J. Schwartz

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CRD#: 700397
JS

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.

Jerome Jay Schwartz was a registered financial professional .

Jerome is a previously registered financial professional and started their career in finance in 1969. Jerome had worked at 6 firms and has passed the Series 63, Series 6 and Series 1 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 5, 1995 - February 18, 2003

CALIFORNIA CAPITAL SERVICES, INC.

BD
CRD#: 22547
WOODLAND HILLS, CA
Past

February 4, 1986 - March 24, 1987

EPIC SECURITIES COMPANY

BD
CRD#: 4286
Past

January 21, 1977 - July 18, 1984

SOUTHMARK FINANCIAL SERVICES, INC.

BD
CRD#: 6518
Past

November 1, 1971 - December 31, 1976

PIEDMONT CAPITAL CORPORATION

BD
CRD#: 7679
Past

February 9, 1971 - November 1, 1971

PIEDMONT CAPITAL CORPORATION

BD
CRD#: 711
Past

November 12, 1969 - March 5, 1971

ICS SECURITIES INC

BD
CRD#: 90

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/4/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 1/4/1995
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 12/12/1961
Registered Representative Examination

Current Firm

CC
CALIFORNIA CAPITAL SERVICES, INC.
CALIFORNIA CAPITAL SERVICES, INC.

CRD#: 22547 / SEC#: , 8-39852

BD
Terminated by SEC on 02/10/2004
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 06/01/1988
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SCHWARTZ, MARC PHILLIPVICE PRESIDENT/SECRETARY & DIRECTOR/CHIEF COMPLIANCE OFFICER2419572
ERTL, TERRY ALANCHIEF FINANCIAL OFFICER2483550
LEACH, RICHARD ALANPRESIDENT & DIRECTOR1846766

Disclosures

Regulatory Event1

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.

Company Information

CALIFORNIA CAPITAL SERVICES, INC.

CRD#: 22547

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