Stuart N Schwartz

Current Employers

Employment History

• 01/2009 → Present
  Oppenheimer & Co. Inc.
  Dallas, TX

Previous Registrations

• 2005-10-13 → 2009-02-02
  Banc Of America Investment Services, Inc.
  Dallas, TX
  Addison, TX

Other Businesses

NUVAL ENTERPRISES INC.; FOR PROFIT; 4519 SIGMA RD., DALLAS, TX 75244; RETAIL AND SERVICE LADIES CLOTHES, MAINLY OUTERWEAR; PARTNER; START DATE: 05/10/04; HOURS PER MONTH: 2; HOURS DURING SECURITIES TRADING HOURS: 0; ADVISE ON BUSINESS OPERATIONS. AS A TRUSTEE FOR MY DAUGHTER JAMIE SCHWARTZ SEPERATE PROPERTY TRUST ACCOUNT. I DEVOTE APPROXIMATELY 2 HOURS A MONTH DURING SECURITIES TRADING HOURS ON INVESTMENT TRADING IN THE ACCOUNT/ THE ACCOUNT WAS ESTABLISHED ON 2/10/2007 TO PROVIDE EDUCATION & EXPENSES FOR MY DAUGHTER JAMIE SCHWARTZ SEPERATE PROPERTY TRUST. 4519 SIGMAN RD., STE. A DALLAS, TX 75244-4530 TRUSTEE FOR GEOFFREY SCHWARTZ SEPARATE PROPERTY TRUST UAD 10/11/2006.\AS PARTNER FOR NUVAL ENT. INC. I DEVOTE APPROXIMATELY 0 HOURS A YEAR DURING SECURITIES TRADING HOURS. INVESTMENT RELATED, FUR STORAGE BUSINESS, OWNER/PARTNER. START DATE IF JAN. 1991. THIS IS MY WIFE'S BUSINESS, WE OWN THE BUSINESS TOGETHER. MY WIFE DOES ALL OF THE DAY TO DAY BUSINESS. I DO NOT SPEND ANYTIME DIRNG TRADING HOURS OR AFTER TRADING HOURS. AS TRUSTEE FOR MY DAUGHTERS JAMIE SCHWARTZ SEPERATE PROPERTY TRUST ACCOUNT. I DEVOTE APPROXIMATELY 2 HOURS A MONTH DURING SECURITIES TRADING HOURS ON INVESTMENT TRADING IN THE ACCOUNT. THE ACCOUNT WAS ESTABLISHED ON 2/10/2007 TO PROVIDE EDUCATION AND LIVING EXPENSES FOR MY DAUGHTER. I PROVIDE FINANCIAL RECOMMENDATIONS FOR THE PRUPOSE OF EDUCATION. AS TRUSTEE FOR MY SONS GEOFFREY SCHWARTZ SEPERATE PROPERTY TRUST ACCOUNT I DEVOTE APPROXIMATELY 2 HOURS A MONTH DURING SECURITIES TRADING OURS ON INVESTMENT TRADING IN THE ACCOUNT. THE ACCOUNT WAS ESTABLISHED ON 10/11/2006 TO PROVIDE EDUCATION AND LIVING EXPENSES FOR MY SON. I PROVIDE FINANCIAL RECOMMENDATIONS FOR THE PRUPOSE OF EDUCATION. JAIME SCHWARTZ SEPARATE PROPERTY TRUST 2/1/07 - TRUSTEE

Exams

• S65 Uniform Investment Adviser Law Examination
  2005-09-29
• S63 Uniform Securities Agent State Law Examination
  1995-04-21