Benjamin R. Jones

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CRD#: 6298015

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.

Benjamin Robert Jones, who also goes by Ben Robert Jones, was a registered financial professional .

Benjamin is a previously registered financial professional and started their career in finance in 2014. Benjamin had worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ben Robert Jones

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

October 14, 2014 - September 24, 2020

GREGORY J. SCHWARTZ & CO., INC.

RIA

CRD#: 7294

BLOOMFIELD HILLS, MI

Past

May 16, 2014 - September 24, 2020

GREGORY J. SCHWARTZ & CO., INC.

CRD#: 7294

BLOOMFIELD HILLS, MI

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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 10/11/2014

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: 5/16/2014

General Securities Representative Examination

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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Benjamin R. Jones

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GREGORY J. SCHWARTZ & CO., INC.

GREGORY J. SCHWARTZ & CO., INC.

Primary Firm SEC Registration

GREGORY J. SCHWARTZ & CO., INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/11/2014

SIE

Date: 10/1/2018

Series 7

Date: 5/16/2014

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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