NH
Nicole L. Hoag
GREGORY J. SCHWARTZ & CO.
Bloomfield Hills, MI 48301
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CRD#: 5242684
NH
Professional summary
Nicole Lee Hoag, CFP®, who also goes by Nicole Lee Mefferd, is a registered financial advisor currently at GREGORY J. SCHWARTZ & CO., INC. located in Bloomfield Hills, Michigan.
Nicole is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Nicole has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicole Lee Mefferd
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.
Schwartz Benefit Services, LLC, (Investment related), 3707 W. Maple Road, Ste. 201, Bloomfield Hills, MI 48301, Insurance Agency, Sales Representative, Start date: 11/14/11, Devote <1% time, during trade hours, Sell life insurance and fixed annuities.
CRS (Client Relationship Summary) - RIA
Click below to view Nicole Lee Hoag's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nicole Lee Hoag'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®
CFP®
Start date: 2021
Experience
Current
January 24, 2012 - 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
November 22, 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
December 23, 2008 - November 8, 2011
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
AUBURN HILLS, MI
Past
January 23, 2008 - November 7, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
ROCHESTER HILLS, MI
Past
March 5, 2007 - February 5, 2008
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
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
Arizona(5/5/2017)
RR
California(5/5/2017)
RR
Connecticut(5/5/2017)
RR
District of Columbia(5/5/2017)
RR
Florida(5/5/2017)
RR
Illinois(5/5/2017)
RR
Maryland(5/5/2017)
RR
Michigan(11/22/2011)
IAR
Michigan(1/24/2012)
RR
New Mexico(11/24/2015)
RR
New York(5/5/2017)
RR
Ohio(5/8/2017)
RR
Oregon(5/5/2017)
RR
Virginia(5/5/2017)
RR
Wisconsin(5/5/2017)
Exams
State Security Law Exam
State Security Law 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.
