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Andrew David Schwartz

Apollo Global Securities, LLC

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About Andrew David Schwartz

Andrew David Schwartz is a financial professional with over 25 years of experience in the financial services industry. Andrew has held positions at several prominent firms, including Lehman Brothers Inc., Morgan Stanley & Co., Incorporated, and RBC Capital Markets, LLC. Andrew is currently a registered representative with Apollo Global Securities, LLC. Andrew holds the Series 7, Series 24, Series 63, Series 79 and SIE licenses.

Firm Information

Andrew Schwartz is currently registered with Apollo Global Securities, LLC. Apollo Global Securities, LLC is a Limited Liability Company formed in 2010. The firm is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

136

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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Andrew Schwartz’s Registration & Firm History

NY

08/27/2024 - Present

Apollo Global Securities, LLC (New York NY)

NY

07/07/2015 - 04/30/2021

GUGGENHEIM SECURITIES, LLC (NEW YORK NY)

NY

01/26/2009 - 04/10/2015

RBC CAPITAL MARKETS, LLC (NEW YORK NY)

NY

09/22/2008 - 10/29/2008

BARCLAYS CAPITAL INC. (NEW YORK NY)

NY

04/06/2005 - 09/22/2008

LEHMAN BROTHERS INC. (NEW YORK NY)

NY

06/04/1996 - 04/06/2005

MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)

NY

06/04/1996 - 12/31/1999

MORGAN STANLEY MARKET PRODUCTS INC. (NEW YORK NY)

NY

04/02/1996 - 05/30/1996

SMITH BARNEY INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 05/01/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/21/2010

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/16/2017

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 04/01/1996

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Andrew David Schwartz.
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