Gregory John Schwartz Iii
CFP®Professional Summary
Gregory John Schwartz III, CFP®, who also goes by Gregory John Schwartz, is a registered financial advisor currently at GREGORY J. SCHWARTZ & CO., INC. located in Naples, Florida. Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Gregory has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Gregory John Schwartz
Similar Advisors
AUSDAL FINANCIAL PARTNERS, INC.
INTEGRATED ADVISORS NETWORK LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
AUSDAL FINANCIAL PARTNERS, INC.
INTEGRATED ADVISORS NETWORK LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
AUSDAL FINANCIAL PARTNERS, INC.
INTEGRATED ADVISORS NETWORK LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
AUSDAL FINANCIAL PARTNERS, INC.
INTEGRATED ADVISORS NETWORK LLC
Credentials
Years of Experience
10 years in the financial services industry
Current & Past Employments
Similar Advisors
AUSDAL FINANCIAL PARTNERS, INC.
INTEGRATED ADVISORS NETWORK LLC
Current Firm
GREGORY J. SCHWARTZ & CO., INC. | SCHWARTZ & CO.
Contact Information
Main Address
3707 W Maple Rd Ste 201, Bloomfield Hills, MI 48301Mailing Address
3707 W Maple Rd Ste 201, Bloomfield Hills, MI 48301-3204Phone Number
(248) 644-2701Established
Michigan since 08/04/1976Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
30SEC notice filing (35 States and Territories)
Registered to provide investment advisory services in 35 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 35 US states and territories.
Documents
Part 2 Brochures
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
1,737AUM (Assets Under Management)
$10,489,459,567Disclosures
Arbitration
1Similar Advisors
AUSDAL FINANCIAL PARTNERS, INC.
INTEGRATED ADVISORS NETWORK LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
AUSDAL FINANCIAL PARTNERS, INC.
INTEGRATED ADVISORS NETWORK LLC
Primary Firm SEC Registration
GREGORY J. SCHWARTZ & CO., INC. | SCHWARTZ & CO.
State Registrations and Notice Filings
(7/11/2019)
(7/11/2019)
(7/22/2019)
(7/11/2019)
(7/11/2019)
(8/6/2020)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
AUSDAL FINANCIAL PARTNERS, INC.
INTEGRATED ADVISORS NETWORK LLC
CRS (Client Relationship Summary) - RIA
Click below to view Gregory John Schwartz III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gregory John Schwartz III's CRS (Customer Relationship Summary).
Similar Advisors
AUSDAL FINANCIAL PARTNERS, INC.
INTEGRATED ADVISORS NETWORK LLC
