Gerald M. Schwartz
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.
Gerald Max Schwartz, CFP®, who also goes by Gerald M Schwartz, Jerry Schwartz, was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1978. Gerald had worked at 6 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1988
Experience
December 1, 2016 - March 25, 2026
ARISTA ADVISORY GROUP, LLC
December 10, 2014 - December 14, 2016
ARISTA WEALTH ADVISORS, LTD
August 1, 2003 - March 25, 2004
WALNUT STREET SECURITIES, INC.
February 12, 1993 - January 28, 2003
NATHAN & LEWIS SECURITIES, INC.
March 21, 1989 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
September 26, 1978 - February 14, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 1, 1978 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
ARISTA ADVISORY GROUP, LLC
CRD#: 285722 / SEC#: 801-108720
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ARISTA ADVISORY GROUP, LLC
CRD#: 285722 / SEC#: 801-108720
Contact information
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 564 |
| AUM (Assets Under Management) | $ 181,064,355 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2026 | ||
| 02/19/2025 | ||
| 02/28/2024 | ||
| 01/25/2023 |
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.
