Gregory John Schwartz
Professional Summary
Gregory John Schwartz, who also goes by Greg Schwartz, is a registered financial advisor currently at GREGORY J. SCHWARTZ & CO., INC. located in Bloomfield Hills, Michigan. Gregory is registered as a RR (Registered Representative) and started their career in finance in 1967. Gregory has worked at 2 firms and has passed the Series 63, Series 52TO, Series 79TO, Series 99TO, Series 7TO, SIE, Series 1, Series 27, Series 24, Series 4, F04 and Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Greg Schwartz
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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
58 years in the financial services industry
Current & Past Employments
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Current Firm
GREGORY J. SCHWARTZ & CO., INC. | SCHWARTZ & CO.
Contact Information
Main Address
3707 W Maple Rd Ste 201, Bloomfield Hills, MI 48301Mailing Address
3707 W Maple Rd Ste 201, Bloomfield Hills, MI 48301-3204Phone Number
(248) 644-2701Established
Michigan since 08/04/1976Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
30SEC notice filing (35 States and Territories)
Registered to provide investment advisory services in 35 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 35 US states and territories.
Documents
Part 2 Brochures
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
1,737AUM (Assets Under Management)
$10,489,459,567Disclosures
Arbitration
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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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Primary Firm SEC Registration
GREGORY J. SCHWARTZ & CO., INC. | SCHWARTZ & CO.
State Registrations and Notice Filings
(4/8/1999)
(10/16/1986)
(3/23/1999)
(7/13/1993)
(12/4/2001)
(3/5/1983)
(9/15/1993)
(6/27/2002)
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
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 Sep 2025About the Series 52TO examSeries 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 1 — Registered Representative Examination
Passed Dec 1967F04 — Financial Principal Examination
Passed Sep 1976Series 40 — Registered Principal Examination
Passed Jul 1972SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Gregory John Schwartz's CRS (Customer Relationship Summary).
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