Gregory L. Schroer

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CRD#: 2511018

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.

Gregory Leo Schroer, who also goes by Greg Schroer, was a registered financial professional .

Gregory is a previously registered financial professional and started their career in finance in 1994. Gregory had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Greg Schroer

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 29, 2017 - June 25, 2018

ARISTOTLE CAPITAL MANAGEMENT, LLC

RIA

CRD#: 109876

CHICAGO, IL

Past

July 13, 2017 - July 3, 2018

IMST DISTRIBUTORS, LLC

CRD#: 130745

PORTLAND, ME

Past

December 6, 2010 - June 27, 2017

GNV ADVISORS, LLC

CRD#: 147286

Chicago, IL

Past

July 6, 2007 - December 31, 2008

UHLMANN PRICE SECURITIES, LLC

CRD#: 42854

CHICAGO, IL

Past

September 2, 2005 - June 27, 2017

GENEVA ADVISORS, LLC

RIA

CRD#: 121629

CHICAGO, IL

Past

September 20, 2002 - June 17, 2005

ETICO PARTNERS, LLC

CRD#: 122481

SARATOGA SPRINGS, NY

Past

September 12, 2000 - September 20, 2002

M. J. WHITMAN, INC.

CRD#: 27870

NEW YORK, NY

Past

February 1, 1996 - September 8, 2000

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

November 30, 1994 - June 26, 1995

VOYAGEUR INVESTMENTS, INC.

CRD#: 22544

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".

ARISTOTLE CAPITAL MANAGEMENT, LLC

ARISTOTLE | REED CONNER & BIRDWELL LLC | REED CONNER & BIRDWELL | ARISTOTLE CAPITAL MANAGEMENT, LLC

CRD#: 109876 / SEC#: 801-60014

RIA

Registered Investment Advisory firm - (2/8/2001 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

State Security Law Exam

IAR

Series 65

Date: 6/30/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/8/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/3/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/25/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/29/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ARISTOTLE CAPITAL MANAGEMENT, LLC

ARISTOTLE | REED CONNER & BIRDWELL LLC | REED CONNER & BIRDWELL | ARISTOTLE CAPITAL MANAGEMENT, LLC

CRD#: 109876 / SEC#: 801-60014

RIA

Registered Investment Advisory firm - (2/8/2001 Approved)

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Contact information

Main Address

11100 Santa Monica Blvd Suite 1700, Los Angeles, CA 90025-0449

Mailing Address

Phone number

(310) 478-4005

Established

Firm type

Fiscal year end

# of Employees

156

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ACM FORM ADV PART 2A (3/12/2025)

Regulatory assets under management

Total Number of Accounts	5,904
AUM (Assets Under Management)	$ 43,833,669,241

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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Advisor Monitoring

Firm Stability Insights

Gregory L. Schroer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

IMST DISTRIBUTORS, LLC

GNV ADVISORS, LLC

UHLMANN PRICE SECURITIES, LLC

GENEVA ADVISORS, LLC

ETICO PARTNERS, LLC

M. J. WHITMAN, INC.

CETERA WEALTH SERVICES, LLC

VOYAGEUR INVESTMENTS, INC.

Primary Firm SEC Registration

ARISTOTLE CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/30/2004

Series 63

Date: 2/8/1996

SIE

Date: 7/3/2018

Series 7

Date: 1/25/1999

Series 6

Date: 11/29/1994

Current Firm

ARISTOTLE CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARISTOTLE CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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