Steven D. Schwartz
Professional summary
Steven David Schwartz was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Steven is a previously registered financial professional and started their career in finance in 1977. Prior to being barred, Steven had worked at 6 firms, which includes NATIONAL SECURITIES CORPORATION, VFINANCE INVESTMENTS INC, FIRST COLONIAL SECURITIES, CITIGROUP GLOBAL MARKETS INC., KIDDER PEABODY & CO. INCORPORATED, J. D. ANDREWS CO..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 20, 2012 - October 2, 2018
NATIONAL SECURITIES CORPORATION
April 17, 2002 - December 18, 2012
VFINANCE INVESTMENTS, INC
February 16, 1990 - January 1, 2002
FIRST COLONIAL SECURITIES
June 3, 1985 - February 27, 1990
CITIGROUP GLOBAL MARKETS INC.
December 3, 1982 - June 19, 1985
KIDDER, PEABODY & CO. INCORPORATED
January 17, 1977 - July 14, 1981
J. D. ANDREWS CO.
State Registrations and Notice Filings
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Exams
Series 1
Date: 1/3/1977
Registered Representative ExaminationCurrent Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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