Joseph R. 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.
Joseph Robert Schwartz was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1979. Joseph had worked at 10 firms and has passed the Series 63, Series 5 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
September 9, 1986 - November 25, 1987
MULLER AND COMPANY, INC.
June 23, 1986 - August 19, 1986
GLOBALVEST SECURITIES, (USA), INC
January 19, 1984 - May 13, 1985
ROONEY, PACE INC.
January 24, 1983 - January 25, 1984
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
March 12, 1982 - April 26, 1983
LEHMAN BROTHERS KUHN LOEB INCORPORATED
March 13, 1981 - February 3, 1982
RAUSCHER PIERCE REFSNES, INC.
May 14, 1980 - March 18, 1981
JEFFERIES EXECUTION SERVICES, INC.
January 31, 1980 - May 18, 1980
UBS FINANCIAL SERVICES INC.
December 14, 1979 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
February 1, 1979 - December 13, 1979
CALIFORNIA MUNICIPAL INVESTORS, 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 5
Date: 10/12/1981
Interest Rate Options ExaminationCurrent Firm
MULLER AND COMPANY, INC.
CRD#: 2841 / SEC#: , 8-26209
Contact information
Documents
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.
