William T. Galvin
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.
William Thomas Galvin, who also goes by Bill Galvin, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1969. William had worked at 4 firms and has passed the Series 7TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 8, 1978 - February 20, 2026
GREGORY J. SCHWARTZ & CO., INC.
October 11, 1972 - December 20, 1978
MUTUAL SERVICE CORPORATION
May 12, 1972 - November 6, 1972
INVESTOR SERVICES GENERAL CORPORATION
June 3, 1969 - May 7, 1972
FINANCIAL SERVICES CORPORATION OF AMERICA
Primary Firm SEC Registration
GREGORY J. SCHWARTZ & CO., INC.
CRD#: 7294 / SEC#: 801-62856, 8-20955
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 5/29/1969
Registered Representative ExaminationCurrent Firm
GREGORY J. SCHWARTZ & CO., INC.
CRD#: 7294 / SEC#: 801-62856, 8-20955
Contact information
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
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