Eileen S. 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.
Eileen Siegel Schwartz, who also goes by Eileen S Schwartz, Eileen Siegel, was a registered financial advisor .
Eileen is a previously registered financial advisor and started their career in finance in 1976. Eileen had worked at 6 firms and has passed the Series 63, Series 62 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
May 19, 1994 - December 14, 2015
E.S.SCHWARTZ AND COMPANY, INC
October 16, 1990 - June 22, 1998
GROVE POINT INVESTMENTS, LLC
March 8, 1983 - October 24, 1990
GUARDIAN INVESTOR SERVICES LLC
February 9, 1982 - October 24, 1990
COMMONWEALTH FINANCIAL NETWORK
July 26, 1978 - February 10, 1982
GUARDIAN INVESTOR SERVICES LLC
November 4, 1976 - June 10, 1978
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
November 4, 1976 - June 10, 1978
MONY SECURITIES CORPORATION
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 62
Date: 8/24/1990
Corporate Securities Limited Representative ExaminationSeries 1
Date: 10/30/1976
Registered Representative ExaminationCurrent Firm
E.S.SCHWARTZ AND COMPANY, INC
CRD#: 124275 / SEC#:
Contact information
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.
