Role at Gregory J. Schwartz & Co.
- Title on Schedule A
- Vice-President
- Control
- Walter Schwartz is a control person of Gregory J. Schwartz & Co..
- Ownership
- The filed direct ownership band is 10% to 25%.
- Tenure
- Walter Schwartz has held the filed role since August 2001.
The firm
Form ADV filed 30 March 2026
Career on record
Walter Schwartz has been registered through Gregory J. Schwartz & Co. since July 2016.
- Passed Series 79TO and Series 99TO · 2023
- Passed SIE · 2018
- Passed Series 65 · 2016
- Passed Series 24 · 1994
- Passed Series 7 · 1988
- Passed Series 6 · 1985
- Passed Series 63 · 1984
Registrations and exams
Walter Schwartz has a current investment-adviser registration in Florida, Michigan and Texas and has passed 8 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| Florida | Investment adviser representative | Approved | 13 July 2016 |
| Michigan | Investment adviser representative | Approved | 14 July 2016 |
| Texas | Investment adviser representative | Approved, resident | 12 January 2023 |
- Scope
- Investment adviser representative
- Status
- Approved
- Scope
- Investment adviser representative
- Status
- Approved
- Scope
- Investment adviser representative
- Status
- Approved, resident
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 19 May 2016 |
| Series 63 | Uniform Securities Agent State Law Examination | 30 August 1984 |
| Series 24 | General Securities Principal Examination | 18 July 1994 |
| Series 79TO | Investment Banking Registered Representative Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 7 | General Securities Representative Examination | 20 February 1988 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 14 March 1985 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Principal Examination
- Name
- Investment Banking Registered Representative Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
Individual record
- Full name
- Walter George Schwartz
- CRD
- 1282286
- 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
Schwartz & Co. identifies Walter G. Schwartz as a principal and says he has been in the investment advisory business since 1987. The page says he joined the firm in 1989. Official firm biography page
Education
- He earned a Bachelor of Business Administration from Fairfield University.Official firm biography page
Common questions
Where does Walter Schwartz work?
Walter Schwartz has been Vice-President of Gregory J. Schwartz & Co., Inc. since August 2001, and is a control person of the firm.
Is Walter Schwartz a financial advisor?
Yes. Walter Schwartz has a current investment-adviser registration in Florida, Michigan and Texas, through Gregory J. Schwartz & Co. since July 2016, as of 17 October 2026.
How many years of experience does Walter Schwartz have?
Walter Schwartz has worked in the financial industry for 41 years as of 17 October 2026, counted from 7 May 1985, across 1 adviser firm.
What exams has Walter Schwartz passed?
Walter Schwartz has passed 8 licensing exams: the Series 63, Series 6, Series 7, Series 24, Series 65, SIE, Series 79TO and Series 99TO. The earliest, the Series 63, was passed in August 1984.
Leadership at Gregory J. Schwartz & Co.
- Gregory John JR 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