Role at Gregory J. Schwartz & Co.
- Title on Schedule A
- Chairman of the Board
- Control
- Gregory Schwartz is a control person of Gregory J. Schwartz & Co..
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Gregory Schwartz has held the filed role since August 1976.
The firm
Form ADV filed 30 March 2026
Career on record
- Passed Series 52TO · 2025
- Passed Series 27, Series 24, Series 79TO, Series 99TO and Series 7TO · 2023
- Passed SIE · 2018
- Passed Series 63 · 1980
- Passed Series 4 · 1977
- Passed F04 · 1976
- Passed Series 40 · 1972
- Passed Series 1 · 1967
Registrations and exams
Broker registration; no current adviser registration. Gregory Schwartz has passed 12 qualifying exams.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 5 June 1980 |
| Series 27 | Financial and Operations Principal Examination | 2 January 2023 |
| Series 24 | General Securities Principal Examination | 2 January 2023 |
| Series 4 | Registered Options Principal Examination | 1 September 1977 |
| F04 | Financial Principal Examination | 16 September 1976 |
| Series 40 | Registered Principal Examination | 5 July 1972 |
| Series 52TO | Municipal Securities Representative Examination | 25 September 2025 |
| Series 79TO | Investment Banking Registered Representative Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| Series 7TO | General Securities Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 1 | Registered Representative Examination | 21 December 1967 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- Financial and Operations Principal Examination
- Name
- General Securities Principal Examination
- Name
- Registered Options Principal Examination
- Name
- Financial Principal Examination
- Name
- Registered Principal Examination
- Name
- Municipal Securities Representative Examination
- Name
- Investment Banking Registered Representative Examination
- Name
- Operations Professional Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Registered Representative Examination
Individual record
- Full name
- Gregory John Schwartz
- CRD
- 416277
- Registration status
- Broker registration; no current adviser registration
- 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
Schwartz & Co. identifies Gregory J. Schwartz, Sr. as chairman and founder. The firm says he has worked in investment management, banking and advisory business since 1964. Official firm biography page
Education
- He earned an MBA from the University of Michigan and a Bachelor of Business Administration from the University of Notre Dame.Official firm biography page
Common questions
Where does Gregory Schwartz work?
Gregory Schwartz has been Chairman of the Board of Gregory J. Schwartz & Co., Inc. since August 1976, and is a control person of the firm.
Does Gregory Schwartz have a current investment-adviser registration?
Gregory Schwartz has a current broker registration and no current investment-adviser registration, as of 17 October 2026.
What exams has Gregory Schwartz passed?
Gregory Schwartz has passed 12 licensing exams: the Series 1, Series 40, F04, Series 4, Series 63, SIE, Series 27, Series 24, Series 79TO, Series 99TO, Series 7TO and Series 52TO. The earliest, the Series 1, was passed in December 1967.
Leadership at Gregory J. Schwartz & Co.
- Gregory John JR SchwartzVice-President
- Walter George SchwartzVice-President
- Edward Augustine SchwartzPresident/CEO
- Peter Francis SchwartzVice-President
- Laura Lea PowersCFO, CCO, FINOP
- Joseph Emmet SchwartzTreasurer/Secretary