Gary Steven Schwartz
Professional Summary
Gary Steven Schwartz is a registered financial advisor currently at ARKADIOS CAPITAL located in Atlanta, Georgia. Gary is registered as a RR (Registered Representative) and started their career in finance in 1996. Gary has worked at 9 firms and has passed the Series 63, Series 99TO, Series 57TO, Series 52TO, SIE, Series 87, Series 3, Series 55, Series 7, Series 14, Series 28, Series 53, Series 4 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
30 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
ARKADIOS CAPITAL | MSY SECURITIES, LLC | ARKADIOS CAPITAL, LLC
Contact Information
Main Address
2827 Peachtree Rd Ne, Suite 510, Atlanta, GA 30305Mailing Address
2827 Peachtree Rd Ne, Suite 510, Atlanta, GA 30305Phone Number
(404) 445-0035Established
Georgia since 11/23/2015Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
1Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 87 — Research Analyst Exam - Part II Regulations Module
Passed May 2006About the Series 87 examSeries 55 — Limited Representative-Equity Trader Exam
Passed Jul 1999Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Dec 2010About the Series 28 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Gary Steven Schwartz's CRS (Customer Relationship Summary).
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