William T. Galvin

GREGORY J. SCHWARTZ & CO.

Bloomfield Hills, MI 48301

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CRD#: 217145

Professional summary

William Thomas Galvin, who also goes by Bill Galvin, is a registered financial professional currently at GREGORY J. SCHWARTZ & CO., INC. located in Bloomfield Hills, Michigan.

William is registered as a RR (Registered Representative) and started their career in finance in 1969. William has worked at 4 firms and has passed the Series 7TO, SIE and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bill Galvin

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Thomas Galvin's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 8, 1978 - Present

GREGORY J. SCHWARTZ & CO., INC.

Office #1: 3707 W. Maple, Bloomfield Hills, MI 48301

RIA

CRD#: 7294

Bloomfield Hills, MI

Past

October 11, 1972 - December 20, 1978

MUTUAL SERVICE CORPORATION

CRD#: 4806

Past

May 12, 1972 - November 6, 1972

INVESTOR SERVICES GENERAL CORPORATION

CRD#: 5104

Past

June 3, 1969 - May 7, 1972

FINANCIAL SERVICES CORPORATION OF AMERICA

CRD#: 1000001

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)

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.

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

Florida
(11/29/2010)

Michigan
(3/5/1983)

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

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 5/29/1969

Registered Representative Examination

SRO Registrations

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)

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

SEC notice filing (33 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - FIRM BROCHURE (2024-12) (3/18/2025)

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

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

William T. Galvin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Thomas Galvin's CRS (Customer Relationship Summary).

Certified licenses

Experience

MUTUAL SERVICE CORPORATION

INVESTOR SERVICES GENERAL CORPORATION

FINANCIAL SERVICES CORPORATION OF AMERICA

Primary Firm SEC Registration

GREGORY J. SCHWARTZ & CO., INC.

State Registrations and Notice Filings

Exams

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 5/29/1969

FINRA

Current Firm

GREGORY J. SCHWARTZ & CO., INC.

Contact information

SEC notice filing (33 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

GREGORY J. SCHWARTZ & CO., INC.

TRUST BUT VERIFY

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