Matthew J. Schwartz

GREAT WATERS FINANCIAL

Shoreview, MN 55126

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CRD#: 5904956

Professional summary

Matthew Joseph Schwartz, CFP® is a registered financial advisor currently at GREAT WATERS FINANCIAL located in Shoreview, Minnesota.

Matthew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Matthew has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1. Name of other business: Ink & Ivy Designs; non-investment related; Floral design business; Owner; Start date: 1/1/19; 1 hr./month, 0 during securities trading hours; manage finances of small business. 2. Name of Other Business: Great Waters Financial Investment Related: Yes Address: 4100 Lexington Ave N, Suite 100, Shoreview, MN 55126 Nature of Business: Finance Education Position: Trainer Start Date: 4/1/2018 Approx # of Hours/Month: 2 Brief Description of duties: Provides financial education via seminars 3. Name of Other Business: Great Waters Financial Investment Related: Yes Address: 4100 Lexington Ave N, Suite 100, Shoreview, MN 55126 Nature of Business: Insurance Position: Agent Start Date: 3/2012

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Joseph Schwartz's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Experience

Current

April 6, 2022 - Present

GREAT WATERS FINANCIAL

Office #1: 4100 Lexington Ave N Suite 100, Shoreview, MN 55126

RIA

CRD#: 308215

Shoreview, MN

Past

May 12, 2017 - April 28, 2022

ADVISORNET WEALTH PARTNERS

RIA

CRD#: 113074

Richfield, MN

Past

May 1, 2013 - May 1, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

MINNEAPOLIS, MN

Past

February 7, 2012 - May 1, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

July 1, 2011 - November 29, 2011

MML INVESTORS SERVICES, LLC

CRD#: 10409

MINNEAPOLIS, MN

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".

GREAT WATERS FINANCIAL

GREAT WATERS FINANCIAL | GREAT WATERS WEALTH MANAGEMENT

CRD#: 308215 / SEC#: 801-123543

RIA

Registered Investment Advisory firm - (3/28/2022 Approved)

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

Minnesota
(4/6/2022)

IAR

Texas
(4/6/2022)

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

Series 63

Date: 7/13/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/1/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/6/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/30/2011

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/19/2013

General Securities Principal Examination

Current Firm

GREAT WATERS FINANCIAL

GREAT WATERS FINANCIAL | GREAT WATERS WEALTH MANAGEMENT

CRD#: 308215 / SEC#: 801-123543

RIA

Registered Investment Advisory firm - (3/28/2022 Approved)

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Contact information

Main Address

4100 Lexington Ave N Suite 100, Shoreview, MN 55126

Mailing Address

Phone number

(612) 360-2127

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (9/19/2025)

Regulatory assets under management

Total Number of Accounts	5,944
AUM (Assets Under Management)	$ 1,183,117,490

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.

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Advisor Monitoring

Firm Stability Insights

Matthew J. Schwartz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Joseph Schwartz's CRS (Customer Relationship Summary).

Certified licenses

Experience

ADVISORNET WEALTH PARTNERS

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

GREAT WATERS FINANCIAL

State Registrations and Notice Filings

Exams

Series 63

Date: 7/13/2011

SIE

Date: 5/1/2017

Series 7

Date: 2/6/2012

Series 6

Date: 6/30/2011

Series 24

Date: 12/19/2013

Current Firm

GREAT WATERS FINANCIAL

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GREAT WATERS FINANCIAL

TRUST BUT VERIFY

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