Richard P. 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 Peter Schwartz, who also goes by Richard P Schwartz, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1977. Richard had worked at 5 firms and has passed the Series 66, Series 63, Series 7, Series 3 and PC exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2006 - October 23, 2012
ASSET & FINANCIAL PLANNING, LTD
May 31, 2002 - October 23, 2012
PRIME CAPITAL SERVICES, INC.
April 26, 1985 - September 24, 1990
TUCKER ANTHONY INCORPORATED
September 26, 1978 - April 10, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 21, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 9/11/1983
AMEX Put and Call ExamCurrent Firm
ASSET & FINANCIAL PLANNING, LTD
CRD#: 110709 / SEC#: 801-20784
Contact information
Red Flags
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