Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gary? Claim Your ProfileGary Schwartz is a financial professional with over 20 years of experience in the industry. Currently Gary is registered with Arkadios Capital. Gary holds multiple licenses including Series 7, 24, 53, 55, and 63. Gary holds the SIE, Series 3, Series 4, Series 87, and Series 99TO licenses. Gary has held positions at various other firms over the years including PeachCap Securities, Inc., ESH Capital, LLC, First Southern Securities, LLC, YieldQuest Securities, LLC, Transcend Capital, LP, ProTrader Securities Corporation, Capital Gains, Inc. and Sterne, Agee & Leach, Inc. Gary is licensed in Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, and Wisconsin.
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.
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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2
GA
10/01/2018 - Present
Arkadios Capital (Atlanta GA)
GA
04/24/2017 - 09/20/2018
PEACHCAP SECURITIES, INC. (ATLANTA GA)
PR
12/05/2016 - 04/26/2017
ESH CAPITAL, LLC (GUAYNABO PR)
GA
02/22/2013 - 04/26/2017
FIRST SOUTHERN SECURITIES, LLC. (ALPHARETTA GA)
GA
10/25/2005 - 01/29/2013
YIELDQUEST SECURITIES, LLC (ATLANTA GA)
TX
03/05/2004 - 12/31/2004
TRANSCEND CAPITAL, LP (AUSTIN TX)
TX
03/29/1999 - 04/18/2002
PROTRADER SECURITIES CORPORATION (AUSTIN TX)
CA
12/16/1998 - 04/09/1999
CAPITAL GAINS, INC. (PASADENA CA)
AL
01/17/1996 - 07/09/1997
STERNE, AGEE & LEACH, INC. (BIRMINGHAM AL)
BC
Issued 03/26/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 12/31/2010
Series 28 - Introducing Broker/Dealer Financial Operations Principal Examination
BC
Issued 07/31/2006
Series 53 - Municipal Securities Principal Examination
BC
Issued 06/16/1999
Series 4 - Registered Options Principal Examination
BC
Issued 02/15/1999
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 09/20/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/01/2006
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 09/19/2001
Series 3 - National Commodity Futures Examination
BC
Issued 07/12/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 01/16/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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