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Craig Michael Schwabe

H.c.wainwright & CO., LLC

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About Craig Michael Schwabe

Craig Michael Schwabe is a financial professional who has been active in the securities industry since 2006. Craig is currently a registered representative with H.C. Wainwright & Co., LLC and has been with the firm since April 2013. Craig has held previous positions with Stockblock Securities, Rodman & Renshaw, LLC and Dawson James Securities, Inc. Craig is a Series 7, Series 24, Series 63, Series 79TO and Series 99TO licensed professional and is registered in 53 states and the District of Columbia.

Firm Information

Craig Schwabe is currently registered with H.c.wainwright & CO., LLC. H.c.wainwright & CO., LLC is a Limited Liability Company that was formed in April 2013. They are registered to conduct business in all 50 U.S. states, the District of Columbia, Puerto Rico, and the Virgin Islands. They are also registered with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

11

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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Craig Schwabe’s Registration & Firm History

NY

04/15/2013 - Present

H.c.wainwright & CO., LLC (NEW YORK NY)

NY

06/28/2021 - 05/15/2024

STOCKBLOCK SECURITIES (New York NY)

NY

03/13/2017 - 05/15/2024

RODMAN & RENSHAW, LLC (New York NY)

FL

09/18/2012 - 04/17/2013

DAWSON JAMES SECURITIES, INC. (BOCA RATON FL)

NY

03/24/2006 - 09/14/2012

RODMAN & RENSHAW, LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/10/2012

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/26/2011

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/23/2006

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Craig Michael Schwabe.
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