Joseph G. Scherer

W. SWARTZ & CO.

Wildwood, MO

Some features on this profile are disabled

CRD#: 5836528

Professional summary

Joseph Gregory Scherer JR, who also goes by Joseph G Scherer, Joseph Gregory Scherer, is a registered financial advisor currently at W. SWARTZ & CO., LLC located in Wildwood, Missouri.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Joseph has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph G Scherer | Joseph Gregory Scherer

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.

EGIS FINANCIAL; INVESTMENT RELATED; ASSOCIATE/FINANCIAL CONSULTANT; SPENDS APPROX. 80 HOURS/MONTH; SELLS FDIC INSURANCE CASH ACCOUNT PRODUCTS AND MANAGES SALES TEAM. INSURANCE AGENT; INVESTMENT RELATED; INSURANCE SALES FOR VARIOUS INSURANCE COMPANIES; SPENDS APPROX. 10 HRS/MTH, SAME DURING TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Gregory Scherer JR'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®

None

Experience

Current

October 5, 2020 - Present

W. SWARTZ & CO., LLC

RIA

CRD#: 256786

Wildwood, MO

Past

November 16, 2018 - April 29, 2019

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

FOREST HILLS, NY

Past

November 14, 2018 - April 29, 2019

CHARLES SCHWAB & CO., INC.

CRD#: 5393

FOREST HILLS, NY

Past

November 10, 2017 - March 1, 2018

CITI PRIVATE ALTERNATIVES, LLC

CRD#: 153777

Short Hills, NJ

Past

June 16, 2017 - March 1, 2018

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SHORT HILLS, NJ

Past

April 27, 2017 - March 1, 2018

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SHORT HILLS, NJ

Past

February 11, 2014 - August 4, 2016

J.P. MORGAN SECURITIES LLC

CRD#: 79

CLAYTON, MO

Past

January 5, 2011 - January 3, 2014

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

ST. LOUIS, MO

Past

October 11, 2010 - January 3, 2014

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST. LOUIS, MO

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.

Highlighted states indicate IAR registrations

IAR

Missouri
(10/5/2020)

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 66

Date: 6/15/2017

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 3/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/8/2010

General Securities Representative Examination

Current Firm

W. SWARTZ & CO., LLC

CRD#: 256786 / SEC#:

Missouri

Registered Investment Advisory firm - (8/31/2015 Approved)

Texas

Registered Investment Advisory firm - (3/22/2016 Conditional Restricted)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Wildwood, MO

Mailing Address

Phone number

(636) 667-5209

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	266
AUM (Assets Under Management)	$ 30,010,200

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Joseph G. Scherer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Gregory Scherer JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

CITI PRIVATE ALTERNATIVES, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

J.P. MORGAN SECURITIES LLC

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/15/2017

SIE

Date: 3/1/2018

Series 7

Date: 10/8/2010

Current Firm

W. SWARTZ & CO., LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

W. SWARTZ & CO., LLC

TRUST BUT VERIFY

Similar Advisors