WS
Walter G. Schwartz
GREGORY J. SCHWARTZ & CO.
Bloomfield Hills, MI 48301
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CRD#: 1282286
WS
Professional summary
Walter George Schwartz is a registered financial advisor currently at GREGORY J. SCHWARTZ & CO., INC. located in Bloomfield Hills, Michigan.
Walter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Walter has worked at 3 firms and has passed the Series 65, Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Schwartz Holdings, LLC, (Investment related), 3707 W. Maple, Bloomfield Hills, MI 48301. Expense share arrangement. LLC Member. Start date: 06/02/2009. Devotes 2 hours per quarter, during trade hours, to reviews operational expense payments paid for B/D.
Schwartz Benefit Services, LLC, (Investment related), 3707 W. Maple, Bloomfield Hills, MI 48301. Insurance agency. LLC Member/Sales representative. Start date: 01/18/2002. Devotes 4 hours a month, during trade hours, to sell life/health insurance and fixed annuities and to reviews operations.
Schwartz Land Co., LLC D/B/A Offices at Maple/Lahser, 3707 W. Maple, Bloomfield Hills, MI 48301. Office Building, Indirect interest. Start Date: 2003. Devotes 1 hour per quarter, during trade hours, to review investment. Investment interest flows to Schwartz Financial Group, Inc.
Schwartz Financial Group, Inc., (Investment related), 3707 W. Maple, Bloomfield Hills, MI 48301. Holding company for investments. President/Treasurer. Start date: 02/11/1992. Devotes 4 hours per quarter, during trade hours, to review investments/operations at management meeting.
AHSFGI, LLC, (Investment related), 3707 W. Maple, Bloomfield Hills, MI 48301. Holding company for investments. Indirect interest. Start date: 01/01/2002. Devotes 1 hour per quarter, during trade hours, to review investment at management meeting. Investment interest flows to Schwartz Financial Group, Inc.
American House Holdings, LLC, (Investment related), 3707 W. Maple, Bloomfield Hills, MI 48301. Holds interest in a senior living business assets. Indirect interest. Start date: 2000. Devotes 1 hour per quarter, during trade hours, to review investment at management meeting. Investment interest flows to AHSFGI, LLC.
Baldwin House Holdings, LLC, (Investment related), 3707 W. Maple, Bloomfield Hills, MI 48301. Owns Interest in a senior citizen rental facility. Indirect interest. Start date: 08/20/2015. Devotes 1 hour per quarter, during trade hours, to review investment at management meeting. Investment interest flows to Schwartz Financial Group, Inc.
SGN Fund Management, LLC: Start Date: 2010.
SGN Fund Management II, LLC: Start Date: 2012.
(Investment related), 3707 W. Maple, Bloomfield Hills, MI 48301. Holds interests in senior living business assets. Indirect interest. Start date: 2010. Devotes 1 hour per quarter, during trade hours, to review investment at management meeting. Investment interest flows to AHSFGI, LLC.
SFG Grand Rapids, LLC: Start Date: 08/07/14
SFG Southgate, LLC: Start Date: 11/25/14
SFG Spring Lake, LLC: Start Date: 11/25/14
(Investment related), 3707 W. Maple, Bloomfield Hills, MI 48301. Interest in senior citizen rental facility. LLC Member. Start date: 11/25/2014. Devotes 1 hour per quarter, during trade hours, to review investment at management meeting.
Rochester Roseville MC Development, LLC, (Investment related), 3707 W. Maple, Bloomfield Hills, MI 48301. Interest in two senior citizen rental facilities. Indirect interest. Start date: January 2015. Devotes 1 hour per quarter, during trade hours, to review investment at management meeting. Investment interest flows to AHSFGI, LLC
CRS (Client Relationship Summary) - RIA
Click below to view Walter George Schwartz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Walter George Schwartz's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 12, 2016 - Present
GREGORY J. SCHWARTZ & CO., INC.
Office #1: 3707 W. Maple, Bloomfield Hills, MI 48301Office #2: 4040 Gulf Shore Blvd. N, Naples, FL 34103RIA
BD
CRD#: 7294
Bloomfield Hills, MI
Current
July 12, 1989 - Present
GREGORY J. SCHWARTZ & CO., INC.
Office #1: 3707 W. Maple, Bloomfield Hills, MI 48301Office #2: 4040 Gulf Shore Blvd. N, Naples, FL 34103RIA
BD
CRD#: 7294
Bloomfield Hills, MI
Past
September 19, 1988 - June 3, 1989
RODMAN & RENSHAW INC.
BD
CRD#: 724
Past
February 23, 1988 - September 2, 1988
CARR SECURITIES CORPORATION
BD
CRD#: 1404
Past
March 15, 1985 - March 15, 1988
GREGORY J. SCHWARTZ & CO., INC.
BD
CRD#: 7294
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".
GREGORY J. SCHWARTZ & CO., INC.
GREGORY J. SCHWARTZ & CO., INC. | SCHWARTZ & CO.
CRD#: 7294 / SEC#: 801-62856, 8-20955
RIA
Registered Investment Advisory firm - SEC (3/15/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(4/20/2017)
RR
California(4/20/2017)
RR
Colorado(4/20/2017)
RR
Connecticut(7/12/2016)
RR
Florida(6/23/1992)
IAR
Florida(7/13/2016)
RR
Illinois(7/12/2016)
RR
Kentucky(3/30/2004)
RR
Maine(4/20/2017)
RR
Michigan(7/12/1989)
IAR
Michigan(7/14/2016)
RR
Minnesota(4/20/2017)
RR
Missouri(4/20/2017)
RR
Nevada(4/20/2017)
RR
New Jersey(4/20/2017)
RR
New York(4/22/2004)
RR
North Carolina(8/29/2013)
RR
Ohio(9/4/1992)
RR
Pennsylvania(4/20/2017)
RR
Rhode Island(4/20/2017)
RR
South Dakota(2/8/2017)
RR
Texas(4/20/2017)
IAR
Texas(1/12/2023)
RR
Virginia(7/12/2016)
RR
Wisconsin(7/12/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
GREGORY J. SCHWARTZ & CO., INC.
GREGORY J. SCHWARTZ & CO., INC. | SCHWARTZ & CO.
CRD#: 7294 / SEC#: 801-62856, 8-20955
RIA
Registered Investment Advisory firm - SEC (3/15/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
3707 W Maple Rd Ste 201, Bloomfield Hills, MI 48301
Mailing Address
3707 W Maple Rd Ste 201, Bloomfield Hills, MI 48301-3204
Phone number
(248) 644-2701
Established
Michigan since 08/04/1976
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
30
SEC notice filing (33 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWARTZ, EDWARD AUGUSTINE | PRESIDENT/CEO, PRINCIPAL | 2166324 |
| SCHWARTZ, GREGORY JOHN JR | VICE-PRESIDENT, PRINCIPAL | 1177836 |
| SCHWARTZ, JOSEPH EMMET | TREASURER/SECRETARY | 2168945 |
| SCHWARTZ, PETER FRANCIS | VICE-PRESIDENT, PRINCIPAL | 2168931 |
| SCHWARTZ, WALTER GEORGE | VICE-PRESIDENT, PRINCIPAL | 1282286 |
| POWERS, LAURA LEA | CFO, CCO, FINOP, PRINCIPAL | 4413799 |
| SCHWARTZ, GREGORY JOHN | CHAIRMAN OF THE BOARD, PRINCIPAL | 416277 |
Regulatory assets under management
| Total Number of Accounts | 1,835 |
| AUM (Assets Under Management) | $ 9,070,033,429 |
Disclosures
| Arbitration | 1 |
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.
