Joel W. Schwartz

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CRD#: 1231820

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.

Joel William Schwartz, who also goes by Jody William Schwartz, was a registered financial professional .

Joel is a previously registered financial professional and started their career in finance in 1984. Joel had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jody William Schwartz

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.

1)Joel Schwartz is dually-registered as an investment advisor representative with Alera Investment Advisors, LLC ("Alera" - since 11/2017) and as a Registered Representative with Triad Advisors, Inc. (Triad" - since 11/2017). Business is conducted from Three Parkway North Suite 500, Deerfield, IL 60015. Approximately 90% of Mr. Schwartz's time is for services as an investment advisor representative and the balance as a registered representative. Alera and Triad are not affiliated. 2) GCG Financial;investment related;Three Parkway North,Suite 500,Deerfield,IL 60015;fixed business;advisor;40 hrs/month;6.5 hrs during trading;offering fixed business to clients-fixed insurance,ltc,di,risk management,employee benefits 3) GCG Financial;investment related;Three Parkway North,Suite 500,Deerfield,IL 60015;dba;advisor;40 hrs/month;6.5 hrs during trading;advisor 4) Alera Investment Advisors;investment related;Three Parkway North,Suite 500,Deerfield,IL 60015;RIA;advisor;11/2017;40 hrs/month;6.5 hrs during trading;offering investment advisory business to clients, including financial planning and retirement plan services

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®

None

Experience

Past

November 4, 2017 - January 10, 2023

ALERA INVESTMENT ADVISORS, LLC

RIA

CRD#: 287906

DEERFIELD, IL

Past

November 2, 2017 - December 31, 2022

TRIAD ADVISORS LLC

CRD#: 25803

Deerfield, IL

Past

May 11, 2001 - November 2, 2017

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

Deerfield, IL

Past

September 20, 1988 - November 2, 2017

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

Deerfield, IL

Past

January 22, 1988 - December 20, 1988

RODMAN & RENSHAW INC.

CRD#: 724

Past

August 22, 1986 - February 1, 1988

L. F. ROTHSCHILD & CO. INCORPORATED

CRD#: 501

Past

January 31, 1984 - August 14, 1986

GE CAPITAL MARKETS, INC.

CRD#: 13349

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".

ALERA INVESTMENT ADVISORS, LLC

CRD#: 287906 / SEC#: 801-111892

RIA

Registered Investment Advisory firm - (10/26/2017 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: 1/29/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/10/1984

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: 1/21/1984

General Securities Representative Examination

Current Firm

ALERA INVESTMENT ADVISORS, LLC

CRD#: 287906 / SEC#: 801-111892

RIA

Registered Investment Advisory firm - (10/26/2017 Approved)

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Contact information

Main Address

Three Parkway North Suite 500, Deerfield, IL 60015-2567

Mailing Address

Phone number

(847) 457-3000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (40 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A (5/1/2025)

Regulatory assets under management

Total Number of Accounts	3,097
AUM (Assets Under Management)	$ 3,572,112,624

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.

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Firm Stability Insights

Joel W. Schwartz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TRIAD ADVISORS LLC

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

RODMAN & RENSHAW INC.

L. F. ROTHSCHILD & CO. INCORPORATED

GE CAPITAL MARKETS, INC.

Primary Firm SEC Registration

ALERA INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/29/1998

Series 63

Date: 4/10/1984

SIE

Date: 10/1/2018

Series 7

Date: 1/21/1984

Current Firm

ALERA INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (40 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALERA INVESTMENT ADVISORS, LLC

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