George M Schwartz

Current Employers

Oppenheimer & Co. Inc.

85 Broad Street 22Nd Floor, New York, NY 10004 • United States

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2013-12-12

PA RA
APPROVED

Since 2013-12-12

Branch Locations

One Pitcairn Place 165 Township Line Road, Suite 2300, Jenkintown, PA 19046 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Citigroup Global Markets Inc.	Conshohocken	PA	11/2000	Present
Oppenheimer & Co	Jenkintown	PA	03/2013	Present

11/2000 → Present

Citigroup Global Markets Inc.

Conshohocken, PA
03/2013 → Present

Oppenheimer & Co

Jenkintown, PA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2013-12-11
S63	Uniform Securities Agent State Law Examination	1986-03-07

S65 Uniform Investment Adviser Law Examination

2013-12-11
S63 Uniform Securities Agent State Law Examination

1986-03-07

Other Names

George Melvin Schwartz
George Melvin Schwartz Jr
George Melvin Schwartz
George M Schwartz Jr.

View on SEC IAPD

Current Employers

Oppenheimer & Co. Inc.

Disclosures

Employment History

Exams

Other Names

Other Firms

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