Matthew H. Miller

GREGORY J. SCHWARTZ & CO.

Naples, FL 34103

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CRD#: 6179792

Professional summary

Matthew Henry Miller is a registered financial professional currently at GREGORY J. SCHWARTZ & CO., INC. located in Naples, Florida.

Matthew is registered as a RR (Registered Representative) and started their career in finance in 2013. Matthew has worked at 5 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Matthew Henry Miller'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

July 9, 2019 - Present

GREGORY J. SCHWARTZ & CO., INC.

Office #1: 4040 Gulf Shore Blvd. N, Naples, FL 34103Office #2: 3707 W. Maple Rd Ste 201, Bloomfield Hills, MI 48301Office #3: 3707 W Maple Rd Ste 201, Bloomfield Hills, MI 48301-3204

RIA

CRD#: 7294

Naples, FL

Past

February 13, 2019 - May 28, 2019

COWEN AND COMPANY

CRD#: 7616

Birmingham, MI

Past

July 13, 2017 - May 21, 2019

COWEN SECURITIES, LP

CRD#: 46834

BIRMINGHAM, MI

Past

March 23, 2015 - December 16, 2016

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

September 5, 2013 - January 9, 2015

NATWEST MARKETS SECURITIES INC.

CRD#: 11707

STAMFORD, CT

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)

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.

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

Michigan
(7/9/2019)

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: 9/21/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 10/15/2014

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 9/5/2013

General Securities Representative Examination

SRO Registrations

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)

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

SEC notice filing (33 States and Territories)

FINRA licenses (52 States and Territories)

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

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

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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Firm Stability Insights

Matthew H. Miller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Matthew Henry Miller's CRS (Customer Relationship Summary).

Certified licenses

Experience

COWEN AND COMPANY

COWEN SECURITIES, LP

RBC CAPITAL MARKETS, LLC

NATWEST MARKETS SECURITIES INC.

Primary Firm SEC Registration

GREGORY J. SCHWARTZ & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/21/2013

SIE

Date: 10/1/2018

Series 79

Date: 10/15/2014

Series 7

Date: 9/5/2013

FINRA

Current Firm

GREGORY J. SCHWARTZ & CO., INC.

Contact information

SEC notice filing (33 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

GREGORY J. SCHWARTZ & CO., INC.

TRUST BUT VERIFY

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