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Amber Lindsay Schwartz

Penserra Securities, LLC

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About Amber Lindsay Schwartz

Amber Schwartz is a financial advisor at Penserra Securities, LLC. Amber has been in the financial services industry since 1993. Amber has a broad range of experience, having worked at firms like PIPER JAFFRAY & CO., MOUNTAINVIEW SECURITIES, LLC, SANDERS MORRIS HARRIS INC., and OPPENHEIMER & CO. INC. Amber is licensed to sell securities in multiple states. Amber is a Series 7 and Series 66 licensed representative and has passed the SIE exam.

Firm Information

Amber Schwartz is currently registered with Penserra Securities, LLC. Penserra Securities, LLC is a Limited Liability Company formed in February 2007. The firm is registered with the SEC and in 16 states, including California, Connecticut, Florida, Illinois, Indiana, Iowa, Maryland, Minnesota, Missouri, New Jersey, New Mexico, New York, Ohio, Texas, Virginia, and Wisconsin.

Not reported

Assets Under Management

Not reported

Total Clients

35

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Amber Schwartz’s Registration & Firm History

NY

07/01/2021 - Present

Penserra Securities, LLC (New York NY)

IL

11/06/2014 - 12/09/2019

PIPER JAFFRAY & CO. (Barrington IL)

IL

11/08/2012 - 11/06/2014

MOUNTAINVIEW SECURITIES, LLC (KILDEER IL)

IL

12/06/2006 - 11/28/2012

SANDERS MORRIS HARRIS INC. (KILDEER IL)

IL

01/03/2003 - 12/07/2006

OPPENHEIMER & CO. INC. (CHICAGO IL)

NY

03/21/2001 - 01/03/2003

CIBC WORLD MARKETS CORP. (NEW YORK NY)

TN

05/16/1996 - 03/21/2001

DUNCAN-WILLIAMS, INC. (MEMPHIS (SHELBY) TN)

TX

11/01/1993 - 06/05/1996

M.G.S.I. SECURITIES, INC. (HOUSTON TX)

TX

11/30/1992 - 11/09/1993

WESTCAP SECURITIES, L.P. (HOUSTON TX)

NA

11/28/1992 - 11/09/1993

WESTCAP GOVERNMENT SECURITIES, INC.

NJ

01/22/1992 - 11/09/1992

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

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Licenses & Designations

BOTH

Issued 05/20/2011

Series 66 - Uniform Combined State Law Examination

BC

Issued 03/09/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/20/1992

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

I

Investors' Exchange LLC

N

NYSE Chicago, Inc.

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Amber Lindsay Schwartz. Review regulatory record here.
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