Jerry S. Schwartz

Some features on this profile are disabled

CRD#: 1051064

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Jerry Steven Schwartz, CFP® was a registered financial professional .

Jerry is a previously registered financial professional and started their career in finance in 1982. Jerry had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.

Question & Answer

What are your service offerings?

Comprehensive Financial Planni...

Employee and Employer Plan Ben...

Insurance Planning

Retirement Planning

Investment Planning

Estate Planning

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

**JERRY SCHWARTZ POSITION: Owner NATURE: Solicit and sell non variable insurance products, such as term insurance, long term care insurance, etc. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 05/01/1982 ADDRESS: 11 Balmville Road, Newburgh NY 12550, United States DESCRIPTION: Solicit and sell non variable insurance products. **BIG SKY POSITION: Assist my wife NATURE: Rental activities involved in an apartment in my principal residence INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2002 ADDRESS: 828 West Saugerties Woodstock Rd., Saugerties NY 12477, United States DESCRIPTION: I personally spend little or no time in this activity, my wife , Myra Schwartz does 99% of the work, I spend 1% of my time here. **FOCUSED WEALTH MANAGEMENT POSITION: Investment advisor NATURE: 3) FOCUSED WEALTH MANAGMENT INC nEWBURGH NY INVESTMENT RELATED SINCE 11/2010 INVESTMENT ADVISOR REPRESENTATIVE INVESTMENT RELATED: Yes NUMBER OF HOURS: null SECURITIES TRADING HOURS: null START DATE: 11/01/2010 ADDRESS: 11 BALMVILLE ROAD, NEWBURGH NY 12550, United States DESCRIPTION: Its an RIA

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1988

Experience

Past

December 3, 2014 - February 29, 2024

FOCUSED WEALTH MANAGEMENT, INC.

RIA

CRD#: 154828

NEWBURGH, NY

Past

September 15, 2004 - January 30, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

NEWBURGH, NY

Past

May 9, 2002 - September 21, 2004

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

KINGSTON, NY

Past

June 3, 1993 - September 21, 2004

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

March 13, 1991 - June 7, 1993

GREEN HILL FINANCIAL SERVICE CORPORATION

CRD#: 4882

Past

December 16, 1989 - March 5, 1991

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

February 6, 1987 - December 16, 1989

LINSCO FINANCIAL GROUP, INC.

CRD#: 524

Past

July 15, 1982 - February 10, 1987

GREEN HILL FINANCIAL SERVICE CORPORATION

CRD#: 4882

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FOCUSED WEALTH MANAGEMENT, INC.

CRD#: 154828 / SEC#: 801-71860

RIA

Registered Investment Advisory firm - (11/5/2010 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/11/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/6/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/16/1985

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 10/27/1982

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 7/14/1982

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FOCUSED WEALTH MANAGEMENT, INC.

CRD#: 154828 / SEC#: 801-71860

RIA

Registered Investment Advisory firm - (11/5/2010 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

11 Balmville Rd. Suite 2 North, Newburgh, NY 12550-1911

Mailing Address

Phone number

(845) 691-4035

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (25 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A APPENDIX 1 - WRAP FEE PROGRAM (7/18/2025)

FORM ADV PART 2A (7/18/2025)

Regulatory assets under management

Total Number of Accounts	5,215
AUM (Assets Under Management)	$ 1,890,919,902

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jerry S. Schwartz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SECURITIES AMERICA, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

GREEN HILL FINANCIAL SERVICE CORPORATION

LPL FINANCIAL LLC

LINSCO FINANCIAL GROUP, INC.

GREEN HILL FINANCIAL SERVICE CORPORATION

Primary Firm SEC Registration

FOCUSED WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/11/1997

Series 63

Date: 6/6/1986

SIE

Date: 10/1/2018

Series 7

Date: 2/16/1985

Series 22

Date: 10/27/1982

Series 6

Date: 7/14/1982

Current Firm

FOCUSED WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (25 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FOCUSED WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

Contact information

Similar Advisors