Gary Schwartz has held the title Elected Manager at Arkadios Wealth Advisors since October 2024, is a control person of the firm and directly owns under 5% of it. Gary Schwartz holds an MBA in Finance from Georgia State University. Gary Schwartz studied at Michigan State University.
Arkadios Wealth Advisors LLC is an Atlanta, GA firm with $8.79B under management, 14,886 clients and 151 advisers across 105 offices, as of its October 2026 filing.
Gary Schwartz is Chief Compliance Officer of Arkadios Capital. Before joining Arkadios, he was Chief Compliance Officer of a dually registered boutique investment firm. He has 30 years of experience in the financial industry across the equity and fixed-income sides of the business and has been a Chief Compliance Officer for nearly 20 years.
No adviser firm registrations are on Gary Schwartz’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| Series 57TO | Securities Trader Exam | 2 January 2023 |
| Series 52TO | Municipal Securities Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 28 | Introducing Broker/Dealer Financial Operations Principal Examination | 31 December 2010 |
| Series 53 | Municipal Securities Principal Examination | 31 July 2006 |
| Series 87 | Research Analyst Exam - Part II Regulations Module | 1 May 2006 |
| Series 3 | National Commodity Futures Examination | 19 September 2001 |
| Series 55 | Limited Representative-Equity Trader Exam | 12 July 1999 |
| Series 4 | Registered Options Principal Examination | 16 June 1999 |
| Series 24 | General Securities Principal Examination | 15 February 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 26 March 1996 |
| Series 7 | General Securities Representative Examination | 16 January 1996 |
- Name
- Compliance Officer Examination
- Name
- Operations Professional Examination
- Name
- Securities Trader Exam
- Name
- Municipal Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Introducing Broker/Dealer Financial Operations Principal Examination
- Name
- Municipal Securities Principal Examination
- Name
- Research Analyst Exam - Part II Regulations Module
- Name
- National Commodity Futures Examination
- Name
- Limited Representative-Equity Trader Exam
- Name
- Registered Options Principal Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Gary Steven Schwartz
- CRD
- 2691699
- Firm
- Arkadios Wealth Advisors · CRD 288863
- Role
- Elected Manager
- Registration
- Broker registration; no current adviser registration
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- arkadios.com
Where does Gary Schwartz work?
Gary Schwartz has held the title Elected Manager at Arkadios Wealth Advisors LLC since October 2024, and is a control person of the firm.
Does Gary Schwartz have a current investment-adviser registration?
Gary Schwartz has a current broker registration and no current investment-adviser registration.
What exams has Gary Schwartz passed?
Gary Schwartz has passed 13 licensing exams: the Series 7, Series 63, Series 24, Series 4, Series 55, Series 3, Series 87, Series 53, Series 28, Series 14, Series 99TO, Series 57TO and Series 52TO. The earliest, the Series 7, was passed in January 1996. FINRA credited Gary Schwartz with the SIE, which began in October 2018.
Is Gary Schwartz registered with FINRA?
Yes. Gary Schwartz has a current broker registration, under CRD 2691699.
Source: FINRA BrokerCheck
How can I verify Gary Schwartz’s record?
Search CRD 2691699 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Gary Schwartz’s full registration record.
