Warren J. Schwarzman
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.
Warren Jeffrey Schwarzman, who also goes by Stretch Schwarzman, was a registered financial professional .
Warren is a previously registered financial professional and started their career in finance in 1976. Warren had worked at 9 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2004 - March 19, 2013
HIGHLAND CAPITAL MANAGEMENT, LLC
April 5, 1990 - October 20, 2000
PERSHING LLC
August 5, 1988 - February 10, 1990
CITIGROUP GLOBAL MARKETS INC.
March 2, 1988 - August 8, 1988
MORGAN STANLEY DW INC.
February 12, 1985 - November 16, 1987
ALEX. BROWN & SONS INCORPORATED
September 21, 1984 - January 22, 1985
J.P. MORGAN SECURITIES LLC
September 8, 1984 - September 28, 1984
BECKER PARIBAS INCORPORATED
June 11, 1980 - September 26, 1984
PRUDENTIAL EQUITY GROUP, LLC
October 24, 1978 - April 27, 1980
STUART BROTHERS
January 27, 1976 - September 29, 1978
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
HIGHLAND CAPITAL MANAGEMENT, LLC
CRD#: 104842 / SEC#: 801-8762
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
HIGHLAND CAPITAL MANAGEMENT, LLC
CRD#: 104842 / SEC#: 801-8762
Contact information
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,042 |
| AUM (Assets Under Management) | $ 3,539,134,473 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/27/2025 | ||
| 07/29/2024 | ||
| 11/15/2023 | ||
| 08/22/2023 | ||
| 08/25/2022 |
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.
