ES
Edward A. Schwartz
GREGORY J. SCHWARTZ & CO.
Bloomfield Hills, MI 48301
Some features on this profile are disabled
CRD#: 2166324
ES
Professional summary
Edward Augustine Schwartz, who also goes by Ed Schwartz, is a registered financial advisor currently at GREGORY J. SCHWARTZ & CO., INC. located in Bloomfield Hills, Michigan.
Edward is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Edward has worked at 1 firm and has passed the Series 66, Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ed 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.
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 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. Secretary. 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.
Schwartz Benefit Services, LLC, (Investment related), 3707 W. Maple, Bloomfield Hills, MI 48301. Insurance agency. Management Consultant. Start date: 01/18/2002. Devotes 2 hours per month, to reviews operations.
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 Edward Augustine Schwartz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Edward Augustine 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
May 28, 2010 - 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
August 4, 1993 - 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
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
Alabama(12/6/2001)
RR
Alaska(10/31/2001)
RR
Arizona(12/17/2001)
RR
Arkansas(10/24/2001)
RR
California(10/30/2001)
RR
Colorado(11/1/2001)
RR
Connecticut(11/14/2001)
RR
Delaware(12/4/2001)
RR
District of Columbia(11/6/2001)
RR
Florida(10/31/2001)
IAR
Florida(7/13/2016)
RR
Georgia(11/1/2001)
RR
Hawaii(2/4/2002)
RR
Idaho(10/30/2001)
RR
Illinois(11/6/2001)
RR
Indiana(12/4/2001)
RR
Iowa(10/31/2001)
RR
Kansas(1/3/2002)
RR
Kentucky(10/31/2001)
RR
Louisiana(11/1/2001)
IAR
Louisiana(1/10/2023)
RR
Maine(11/1/2001)
RR
Maryland(10/31/2001)
RR
Massachusetts(9/17/2001)
RR
Michigan(8/12/1993)
IAR
Michigan(5/28/2010)
RR
Minnesota(11/2/2001)
RR
Mississippi(12/6/2001)
RR
Missouri(11/26/2001)
RR
Montana(10/31/2001)
RR
Nebraska(1/11/2002)
IAR
Nebraska(1/31/2023)
RR
Nevada(11/6/2001)
RR
New Hampshire(10/10/2001)
RR
New Jersey(11/9/2001)
RR
New Mexico(1/25/2002)
RR
New York(2/9/2002)
RR
North Carolina(11/19/2001)
RR
North Dakota(11/6/2001)
RR
Ohio(10/31/2001)
RR
Oklahoma(10/31/2001)
RR
Oregon(10/29/2001)
RR
Pennsylvania(11/14/2001)
RR
Puerto Rico(10/31/2001)
RR
Rhode Island(2/11/2002)
RR
South Carolina(10/31/2001)
RR
South Dakota(10/31/2001)
RR
Tennessee(10/31/2001)
RR
Texas(11/6/2001)
IAR
Texas(8/3/2016)
RR
Utah(11/1/2001)
RR
Vermont(2/11/2002)
RR
Virginia(10/31/2001)
RR
Washington(10/31/2001)
RR
West Virginia(10/31/2001)
RR
Wisconsin(12/10/2001)
RR
Wyoming(12/19/2001)
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
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.
