Role at Gregory J. Schwartz & Co.
- Title on Schedule A
- Vice-President
- Control
- Gregory Schwartz is a control person of Gregory J. Schwartz & Co..
- Ownership
- The filed direct ownership band is 10% to 25%.
- Tenure
- Gregory Schwartz has held the filed role since May 2000.
The firm
Form ADV filed 30 March 2026
Career on record
Gregory Schwartz has been registered through Gregory J. Schwartz & Co. since May 2010.
- Passed Series 99TO and Series 79TO · 2023
- Passed SIE · 2018
- Passed Series 66 · 2007
- Passed Series 24 · 1994
- Passed Series 7 · 1987
- Passed Series 6 · 1984
- Passed Series 63 · 1983
Registrations and exams
Gregory Schwartz has a current investment-adviser registration in Florida and Michigan and has passed 8 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| Florida | Investment adviser representative | Approved | 20 July 2022 |
| Michigan | Investment adviser representative | Approved | 28 May 2010 |
- Scope
- Investment adviser representative
- Status
- Approved
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 10 January 2007 |
| Series 63 | Uniform Securities Agent State Law Examination | 11 August 1983 |
| Series 24 | General Securities Principal Examination | 8 September 1994 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| Series 79TO | Investment Banking Registered Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 7 | General Securities Representative Examination | 17 October 1987 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 27 June 1984 |
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Principal Examination
- Name
- Operations Professional Examination
- Name
- Investment Banking Registered Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
Individual record
- Full name
- Gregory John Schwartz
- CRD
- 1177836
- Registration status
- Investment adviser and broker registrations
- Firm bio
- gjsco.com
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Background
Gregory J. Schwartz, Jr. is identified by Schwartz & Co. as a principal and has been in the investment business since 1986. The profile says he joined Schwartz & Co. in 1987 and focuses on long-term investment planning for individuals and families. Official firm biography page
Education
- He graduated from Fairfield University with a Bachelor of Arts in Economics.Official firm biography page
Common questions
Where does Gregory Schwartz work?
Gregory Schwartz has been Vice-President of Gregory J. Schwartz & Co., Inc. since May 2000, and is a control person of the firm.
Is Gregory Schwartz a financial advisor?
Yes. Gregory Schwartz has a current investment-adviser registration in Florida and Michigan, through Gregory J. Schwartz & Co. since May 2010, as of 17 October 2026.
How many years of experience does Gregory Schwartz have?
Gregory Schwartz has worked in the financial industry for 42 years as of 17 October 2026, counted from 27 June 1984, across 1 adviser firm.
What exams has Gregory Schwartz passed?
Gregory Schwartz has passed 8 licensing exams: the Series 63, Series 6, Series 7, Series 24, Series 66, SIE, Series 99TO and Series 79TO. The earliest, the Series 63, was passed in August 1983.
Leadership at Gregory J. Schwartz & Co.
- Walter George SchwartzVice-President
- Edward Augustine SchwartzPresident/CEO
- Peter Francis SchwartzVice-President
- Laura Lea PowersCFO, CCO, FINOP
- Gregory John SchwartzChairman of the Board
- Joseph Emmet SchwartzTreasurer/Secretary