Role at Bleakley Financial Group
- Title on Schedule A
- Member
- Control
- Scott Schwartz is a control person of Bleakley Financial Group.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Scott Schwartz has held the filed role since November 2014.
The firm
Form ADV filed 14 September 2026
Career on record
Scott Schwartz has been registered through Bleakley Financial Group since June 2022, and before that through Northwestern Mutual Investment Services,llc and Northwestern Mutual Wealth Management Company.
- Passed SIE · 2018
- Private Advisor Group, LLC– · 8 yearsFairfield, NJ · Adviser representative · Firm CRD 155216
- Northwestern Mutual Investment Services,llc– · 7 yearsFairfield, NJ · Adviser representative · Firm CRD 2881
- Passed Series 66 · 2006
- Northwestern Mutual Wealth Management Company– · 4 yearsMilwaukee, WI · Adviser representative · Firm CRD 109729
- Passed Series 7 and Series 63 · 1985
Registrations and exams
Scott Schwartz has a current investment-adviser registration in Arizona and New Jersey and has passed 4 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| Arizona | Investment adviser representative | Approved | 28 August 2023 |
| New Jersey | Investment adviser representative | Approved | 28 June 2022 |
- Scope
- Investment adviser representative
- Status
- Approved
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 22 September 2006 |
| Series 63 | Uniform Securities Agent State Law Examination | 11 November 1985 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 7 | General Securities Representative Examination | 20 July 1985 |
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Scott David Schwartz
- CRD
- 1315182
- Registration status
- Investment adviser registration
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
Common questions
Where does Scott Schwartz work?
Scott Schwartz has held the title Member at Bleakley Financial Group, LLC since November 2014, and is a control person of the firm.
Is Scott Schwartz a financial advisor?
Yes. Scott Schwartz has a current investment-adviser registration in Arizona and New Jersey, through Bleakley Financial Group since June 2022, as of 17 October 2026.
How many years of experience does Scott Schwartz have?
Scott Schwartz has worked in the financial industry for 41 years as of 17 October 2026, counted from 22 July 1985, across 4 adviser firms.
What exams has Scott Schwartz passed?
Scott Schwartz has passed 4 licensing exams: the Series 7, Series 63, Series 66 and SIE. The earliest, the Series 7, was passed in July 1985.
Where did Scott Schwartz work before Bleakley Financial Group?
Before Bleakley Financial Group, Scott Schwartz was registered through Northwestern Mutual Investment Services,llc, October 2007 to February 2015; Northwestern Mutual Wealth Management Company, January 2003 to April 2007.
Leadership at Bleakley Financial Group
- Andy SchwartzChief Executive Officer / Member
- Alexei MostovoiChief Financial Officer
- Vincent NauheimerChief Operating Officer
- Craig WeissChief Compliance Officer
- Michael AxelrodMember
- Peter BoockvarChief Investment Officer
- Samuel CariChief Strategy Officer
- John CooneyMember
- Joseph DuranMember
- Patrick HayesChief Legal Officer
- Kevin SpahnMember