AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
AI

Anna L. Islam

Some features on this profile are disabled
CRD#: 5976262
AI

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Anna Louise Islam was a registered financial professional .

Anna is a previously registered financial professional and started their career in finance in 2012. Anna had worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 15, 2015 - September 21, 2016

GREGORY J. SCHWARTZ & CO., INC.

RIA
CRD#: 7294
BLOOMFIELD HILLS, MI
Past

April 2, 2015 - September 21, 2016

GREGORY J. SCHWARTZ & CO., INC.

BD
CRD#: 7294
BLOOMFIELD HILLS, MI
Past

July 20, 2012 - May 1, 2013

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, 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.
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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 5/4/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/3/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/21/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/19/2012
General Securities Representative Examination

Current Firm

GREGORY J. SCHWARTZ & CO., INC.
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)
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
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

ADV PART 2A - FIRM BROCHURE (2024-12) (3/18/2025)

Direct owners and executive officers

NamePositionCRD#
SCHWARTZ, EDWARD AUGUSTINEPRESIDENT/CEO, PRINCIPAL2166324
SCHWARTZ, GREGORY JOHN JRVICE-PRESIDENT, PRINCIPAL1177836
SCHWARTZ, JOSEPH EMMETTREASURER/SECRETARY2168945
SCHWARTZ, PETER FRANCISVICE-PRESIDENT, PRINCIPAL2168931
SCHWARTZ, WALTER GEORGEVICE-PRESIDENT, PRINCIPAL1282286
POWERS, LAURA LEACFO, CCO, FINOP, PRINCIPAL4413799
SCHWARTZ, GREGORY JOHNCHAIRMAN OF THE BOARD, PRINCIPAL416277

Regulatory assets under management

Total Number of Accounts1,835
AUM (Assets Under Management)$ 9,070,033,429

Disclosures

Arbitration1

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.

Company Information

GREGORY J. SCHWARTZ & CO., INC.

GREGORY J. SCHWARTZ & CO., INC.

CRD#: 7294

TRUST BUT VERIFY

Monitor Anna Islam

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.