Gerald Schwartz has been Partner of Arista Advisory Group since October 2016, is a control person of the firm and directly owns between 50% and 75% of it. Gerald Schwartz holds a Bachelor of Arts in Philosophy from Stony Brook University and a Master of Arts in Comparative East-West Philosophy from the University of Hawaii at Manoa.
Arista Advisory Group, LLC is an Albany, NY firm with $144M under management, 234 clients and 1 adviser in one office, as of its August 2026 filing.
Jerry Schwartz is Founder, Managing Partner, and Chief Compliance Officer of Arista Advisory Group. He began his career in financial planning in 1977 as a FINRA Registered Representative with Merrill Lynch in Honolulu. In 1984 he left Merrill Lynch to open a private financial planning and investment advisory practice.
Gerald Schwartz’s longest registration was 9 years at Nathan & Lewis Securities, Inc. (1993–2003).
- Arista Investment Advisors, LTD.– · 2 yearsAlbany, NY · Adviser representative · Firm CRD 107763
- Nathan & Lewis Securities, Inc.– · 9 yearsAlbany, NY · Adviser representative · Firm CRD 8503
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 24 | General Securities Principal Examination | 3 March 2000 |
| Series 63 | Uniform Securities Agent State Law Examination | 5 April 1989 |
| Series 7 | General Securities Representative Examination | 18 March 1989 |
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Gerald Max Schwartz
- CRD
- 848425
- Firm
- Arista Advisory Group · CRD 285722
- Role
- Partner
- Registration
- No current adviser or broker registration
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- aristaadv.com
Where does Gerald Schwartz work?
Gerald Schwartz has been Partner of Arista Advisory Group, LLC since October 2016, and is a control person of the firm.
Does Gerald Schwartz have a current investment-adviser registration?
Gerald Schwartz has no current investment-adviser or broker registration.
What exams has Gerald Schwartz passed?
Gerald Schwartz has passed 3 licensing exams: the Series 7, Series 63 and Series 24. The earliest, the Series 7, was passed in March 1989.
Where was Gerald Schwartz previously registered as an investment adviser?
Gerald Schwartz has past investment-adviser registrations through Arista Advisory Group, LLC, December 2016 to March 2026; Arista Investment Advisors, LTD., December 2014 to December 2016; Nathan & Lewis Securities, Inc., February 1993 to January 2003, across 3 firms.
Is Gerald Schwartz registered with FINRA?
No. Gerald Schwartz has no current broker registration.
How can I verify Gerald Schwartz’s record?
Search CRD 848425 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Gerald Schwartz’s full registration record.
