Laura Lea Powers
Professional Summary
Laura Lea Powers is a registered financial advisor currently at GREGORY J. SCHWARTZ & CO., INC. located in Bloomfield Hills, Michigan. Laura is registered as a RR (Registered Representative) and started their career in finance in 2001. Laura has worked at 1 firm and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 14, Series 24 and Series 28 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
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.
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Years of Experience
25 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
(4/28/2022)
(9/18/2001)
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 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Feb 2010About the Series 28 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Laura Lea Powers's CRS (Customer Relationship Summary).
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