RH
Robert S. Higgins
GREGORY J. SCHWARTZ & CO.
Bloomfield Hills, MI 48301
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CRD#: 2264085
RH
Professional summary
Robert Stephens Higgins, who also goes by Rob Higgins, is a registered financial advisor currently at GREGORY J. SCHWARTZ & CO., INC. located in Bloomfield Hills, Michigan.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Robert has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rob Higgins
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.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Stephens Higgins's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Stephens Higgins'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
August 5, 2011 - Present
GREGORY J. SCHWARTZ & CO., INC.
Office #1: 3707 W. Maple Rd Ste 201, Bloomfield Hills, MI 48301Office #2: 3707 W. Maple Rd Ste 201, Bloomfield Hills, MI 48301RIA
BD
CRD#: 7294
Bloomfield Hills, MI
Current
April 11, 2011 - Present
GREGORY J. SCHWARTZ & CO., INC.
Office #1: 3707 W. Maple Rd Ste 201, Bloomfield Hills, MI 48301Office #2: 3707 W Maple Rd Ste 201, Bloomfield Hills, MI 48301-3204RIA
BD
CRD#: 7294
Bloomfield Hills, MI
Past
May 8, 2000 - November 8, 2001
FUNDS DISTRIBUTOR, LLC
BD
CRD#: 7174
PORTLAND, ME
Past
July 22, 1999 - May 3, 2000
LPM INVESTMENT SERVICES, INC
BD
CRD#: 33980
PALM BEACH, FL
Past
August 3, 1993 - February 18, 1999
GREGORY J. SCHWARTZ & CO., INC.
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
Michigan(8/5/2011)
IAR
Michigan(8/5/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
