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MANAGEMENT AND STAFF
Corporate Finance and Investment Banking |
Michael G. Schwartz
Chief Compliance Officer
- 25+ years Compliance experience in the securities
industry
- Financial Industry Regulatory Authority
(FINRA)-licensed Series 7, 63, 8, 4, 14, and 24
- FINRA Arbitrator
- Securities Industry and Financial Markets Association
(SIFMA) Compliance & Legal Division Member
- BS – St.
John's University
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