Andrew M. Schwartz

MADISON ADVISORY SERVICES

WHITE PLAINS, NY 10604

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CRD#: 5945500

Professional summary

Andrew Michael Schwartz, who also goes by Andrew M Schwartz, is a registered financial advisor currently at MADISON ADVISORY SERVICES, INC. located in White Plains, New York and CAMBRIDGE INVESTMENT RESEARCH, INC. located in West Harrison, New York.

Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Andrew has worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Andrew M Schwartz

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. RELEASE RECOVERY FOUNDATION, 55 W. 19th Street, New york NY 11101, United States, 05/01/2021, Board Member, NIR, 10 HR/MO - 0 HR/MO TRADING 2. MADISON PLANNING GROUP, 10 NEW KING ST STE 104, White Plains NY 10604, United States, 07/15/2025, Agent, Insurance/Benefits/Human Resources, NIR, 20 HR/MO - 10 HR/MO TRADING

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Michael 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®

None

Experience

Current

December 18, 2019 - Present

MADISON ADVISORY SERVICES, INC.

Office #1: 10 New King St Suite 104, White Plains, NY 10604

RIA

CRD#: 132386

WHITE PLAINS, NY

Current

July 30, 2025 - Present

CAMBRIDGE INVESTMENT RESEARCH, INC.

Office #1: 10 New King St. Ste. 104, West Harrison, NY 10604

CRD#: 39543

West Harrison, NY

Past

August 2, 2021 - July 30, 2025

LION STREET FINANCIAL, LLC

CRD#: 165828

WHITE PLAINS, NY

Past

November 14, 2016 - August 5, 2021

OSAIC WEALTH, INC.

RIA

CRD#: 23131

WHITE PLAINS, NY

Past

June 26, 2014 - August 5, 2021

OSAIC WEALTH, INC.

CRD#: 23131

WHITE PLAINS, NY

Past

December 14, 2012 - June 10, 2014

OSAIC WEALTH, INC.

CRD#: 23131

WHITE PLAINS, 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".

MADISON ADVISORY SERVICES, INC.

MADISON | MADISON PLANNING GROUP | MADISON PLANNING | MADISON ADVISORY SERVICES, INC.

CRD#: 132386 / SEC#: 801-106492

RIA

Registered Investment Advisory firm - (8/10/2015 Approved)

Florida

Registered Investment Advisory firm - (10/29/2015 Terminated)

New Jersey

Registered Investment Advisory firm - (8/11/2015 Terminated)

New York

Registered Investment Advisory firm - (10/29/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Connecticut
(7/30/2025)

New Jersey
(7/30/2025)

IAR

New York
(7/9/2021)

New York
(7/30/2025)

North Carolina
(7/30/2025)

IAR

Texas
(11/28/2021)

Texas
(7/30/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/23/2015

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/4/2014

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/13/2012

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/24/2018

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

MADISON ADVISORY SERVICES, INC.

MADISON | MADISON PLANNING GROUP | MADISON PLANNING | MADISON ADVISORY SERVICES, INC.

CRD#: 132386 / SEC#: 801-106492

RIA

Registered Investment Advisory firm - (8/10/2015 Approved)

Florida

Registered Investment Advisory firm - (10/29/2015 Terminated)

New Jersey

Registered Investment Advisory firm - (8/11/2015 Terminated)

New York

Registered Investment Advisory firm - (10/29/2015 Terminated)

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Contact information

Main Address

10 New King St Suite 104, White Plains, NY 10604

Mailing Address

Phone number

(914) 328-8558

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - MADISION ADVISORY (8/28/2025)

Regulatory assets under management

Total Number of Accounts	2,210
AUM (Assets Under Management)	$ 428,867,970

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

Andrew M. Schwartz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Michael Schwartz's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

LION STREET FINANCIAL, LLC

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

Primary Firm SEC Registration

MADISON ADVISORY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/23/2015

SIE

Date: 10/1/2018

Series 7

Date: 3/4/2014

Series 6

Date: 12/13/2012

Series 24

Date: 8/24/2018

FINRA

Current Firm

MADISON ADVISORY SERVICES, INC.

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MADISON ADVISORY SERVICES, INC.

TRUST BUT VERIFY

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