Richard M. 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.
Richard Myles Schwartz was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1976. Richard had worked at 10 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - January 31, 2013
FORESTERS EQUITY SERVICES, INC.
October 28, 2002 - December 31, 2008
WATERSTONE FINANCIAL GROUP, INC.
January 4, 1999 - October 28, 2002
DREHER & ASSOCIATES, INC.
April 1, 1998 - December 31, 1998
GROVE POINT INVESTMENTS, LLC
March 3, 1995 - April 8, 1998
DREHER & ASSOCIATES, INC.
February 23, 1993 - March 8, 1995
GROVE POINT INVESTMENTS, LLC
May 28, 1992 - March 2, 1993
SIGNATOR FINANCIAL SERVICES, INC.
February 8, 1990 - May 8, 1992
SENTRY EQUITY SERVICES, INC.
May 17, 1988 - November 27, 1989
THE GREAT-WEST LIFE ASSURANCE COMPANY
March 21, 1986 - May 11, 1988
MORISON SECURITIES, INC.
February 3, 1982 - November 27, 1989
THE GREAT-WEST LIFE ASSURANCE COMPANY
January 23, 1980 - January 29, 1982
TRANSAMERICA FINANCIAL ADVISORS, INC.
August 24, 1976 - May 20, 1978
EQUITY SERVICES, INC.
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
Series 1
Date: 8/20/1976
Registered Representative ExaminationCurrent Firm
FORESTERS EQUITY SERVICES, INC.
CRD#: 18464 / SEC#: 801-77880, 8-36703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE INDEPENDENT ORDER OF FORESTERS ("IOF") | OWNER | |
| GERB, JASON HARRIS | CHIEF COMPLIANCE OFFICER | 3021815 |
| GIL, JUDITH ELAINE | VICE PRESIDENT COMPLIANCE | 2707895 |
| MALECHUK, LAURA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1105982 |
| MCDONOUGH, MARK E | VP OPERATIONS | 4254608 |
| REABURN, PAUL DOUGLAS | DIRECTOR | 4125521 |
| SMITH, FRANK LEO | PRESIDENT | 2080590 |
| SMITH, FRANK LEO | DIRECTOR | 2080590 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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