RD
Romain H. Ducasse
GREGORY J. SCHWARTZ & CO.
Bloomfield Hills, MI 48301
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CRD#: 6815670
RD
Professional summary
Romain Hubert Ducasse, who also goes by Romain Ducasse, Romain H Ducasse, is a registered financial advisor currently at GREGORY J. SCHWARTZ & CO., INC. located in Bloomfield Hills, Michigan.
Romain is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Romain has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Romain Ducasse | Romain H Ducasse
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.
CRS (Client Relationship Summary) - RIA
Click below to view Romain Hubert Ducasse's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Romain Hubert Ducasse's 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®
NoneExperience
Current
January 16, 2026 - Present
GREGORY J. SCHWARTZ & CO., INC.
Office #1: 3707 W. Maple Rd Ste 201, Bloomfield Hills, MI 48301Office #2: 3707 W. Maple Rd Ste 201, Bloomfield Hills, MI 48301RIA
BD
CRD#: 7294
Bloomfield Hills, MI
Current
January 16, 2026 - Present
GREGORY J. SCHWARTZ & CO., INC.
Office #1: 3707 W. Maple Rd Ste 201, Bloomfield Hills, MI 48301Office #2: 3707 W Maple Rd Ste 201, Bloomfield Hills, MI 48301-3204RIA
BD
CRD#: 7294
Bloomfield Hills, MI
Past
October 22, 2021 - January 2, 2026
MORGAN STANLEY
RIA
CRD#: 149777
Troy, MI
Past
October 22, 2021 - January 2, 2026
MORGAN STANLEY
BD
CRD#: 149777
Troy, MI
Past
August 30, 2018 - November 1, 2021
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
TROY, MI
Past
August 30, 2018 - November 1, 2021
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
TROY, MI
Past
September 29, 2017 - August 6, 2018
MORGAN STANLEY
RIA
CRD#: 149777
FARMINGTON HILLS, MI
Past
September 1, 2017 - August 6, 2018
MORGAN STANLEY
BD
CRD#: 149777
FARMINGTON 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)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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
Colorado(1/16/2026)
RR
Florida(1/16/2026)
RR
Georgia(1/16/2026)
RR
Illinois(1/16/2026)
RR
Indiana(1/16/2026)
RR
Maryland(1/16/2026)
RR
Massachusetts(1/16/2026)
RR
Michigan(1/16/2026)
IAR
Michigan(1/16/2026)
RR
Missouri(1/16/2026)
RR
New Hampshire(1/16/2026)
IAR
New Hampshire(1/16/2026)
RR
South Carolina(1/16/2026)
RR
Texas(1/16/2026)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
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)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)
FINRA licenses (52 States and Territories)
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 | 1 |
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.
