linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Joshua Nathaniel Schwartz

East Wind Securities, LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Joshua? Claim Your Profile

About Joshua Nathaniel Schwartz

Joshua Schwartz is a financial advisor with over 25 years of experience in the industry. He currently holds a position with East Wind Securities, LLC, a firm based in New York. Prior to joining East Wind Securities, LLC, Joshua Schwartz worked for Pickwick Capital Partners, LLC, Grand Capital Corp., H.C. Wainwright & Co., Inc., and Bear, Stearns & Co. Inc. His extensive experience in the industry and diverse background provide him with a unique perspective to assist clients with their financial needs. Joshua Schwartz is licensed in nine states and is a registered representative with FINRA. He has also passed a number of industry examinations, including the Series 7, Series 24, Series 63 and Series 99TO.

Firm Information

Joshua Schwartz is currently registered with East Wind Securities, LLC. East Wind Securities, LLC is a Limited Liability Company formed on April 8, 2008. The firm is registered with the Securities and Exchange Commission and in 12 states including California, Connecticut, Florida, Illinois, Maryland, Massachusetts, Michigan, New Jersey, New York, Ohio, Pennsylvania, and Texas.

Not reported

Assets Under Management

Not reported

Total Clients

3

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.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Joshua Schwartz’s Registration & Firm History

NY

01/13/2009 - Present

East Wind Securities, LLC (NEW YORK NY)

NY

05/08/2008 - 01/26/2009

PICKWICK CAPITAL PARTNERS, LLC (WHITE PLAINS NY)

NY

09/13/2006 - 05/09/2008

GRAND CAPITAL CORP. (NEW YORK NY)

NY

01/09/2004 - 02/03/2006

H.C. WAINWRIGHT & CO., INC. (NEW YORK NY)

NY

01/25/1995 - 11/09/2001

BEAR, STEARNS & CO. INC. (NEW YORK NY)

Not sure if Joshua Nathaniel Schwartz is right for you?

Licenses & Designations

BC

Issued 04/27/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 14 - Compliance Officer Examination

BC

Issued 12/28/2007

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/24/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Joshua Nathaniel Schwartz.
Not sure if Joshua Nathaniel Schwartz is right for you?