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BJ

Benjamin R. Jones

Some features on this profile are disabled
CRD#: 6298015
BJ

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"?
No

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.

BD
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.
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
RR
IAR
Series 66
Date: 10/11/2014
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/16/2014
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)
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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
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

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