RS
Richard F. Schaufert
LEXAURUM ADVISORS
Fairfield, TX 75840
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CRD#: 1186549
RS
Professional summary
Richard Frederick Schaufert, who also goes by Rich Schaufert, is a registered financial advisor currently at LEXAURUM ADVISORS located in Fairfield, Texas.
Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Richard has worked at 10 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rich Schaufert
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1)-FAIRFIELD VOLUNTEER FIRE DEPARTMENT; NOT INVESTMENT RELATED; 123 S Keechi, FAIRFIELD, TX 75840; Firefighter EMT and Chief; Start Date MARCH 16 2011; 40 HOURS a Month Varies DURING TRADING HOURS; respond to calls for service and manages the department. 2) FAIRFIELD LODGE 103 AF&AM; NOT INVESTMENT RELATED; 123 N KEECHI ST., FAIRFIELD, TX 75840; FRATERNITY; JR. STEWARD; STARTED 1/15/2011; APX 12 HOURS/MONTH, NONE DURING TRADING; ASSIST IN MEETING PREPARATION 3) FINRA ARBITRATOR; INVESTMENT RELATED; 1735 K St. NW, Washington DC 20006; Serves as panel member for retail and industry securities disputes; APX 3 HOURS/MONTH, during trading. 4) LICENSED INSURANCE AGENT; NOT INVESTMENT RELATED; 11 Pine Ridge Court,Fairfield, TX 75840; 01/1982; APX 5 HOURS/MONTH, during trading; Offer Life, Health and Annuities.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Frederick Schaufert's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 5, 2019 - Present
LEXAURUM ADVISORS
Office #1: 11 Pine Ridge Court, Fairfield, TX 75840RIA
CRD#: 283653
Fairfield, TX
Past
December 9, 2019 - July 5, 2022
INTEGRITY ALLIANCE, LLC.
BD
CRD#: 139627
Fairfield, TX
Past
September 20, 2019 - December 12, 2019
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
FAIRFIELD, TX
Past
September 1, 2016 - December 13, 2019
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
FAIRFIELD, TX
Past
September 1, 2016 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
FAIRFIELD, TX
Past
April 3, 2003 - September 1, 2016
VSR FINANCIAL SERVICES, INC.
RIA
CRD#: 14503
FAIRFIELD, TX
Past
April 1, 2003 - September 1, 2016
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
FAIRFIELD, TX
Past
March 23, 2001 - April 15, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
DAYTONA BEACH, FL
Past
March 23, 2001 - April 15, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
September 13, 1996 - April 17, 2001
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
Past
July 2, 1993 - September 21, 1996
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
March 22, 1984 - July 12, 1993
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LA
LEXAURUM ADVISORS
BLUE SKY FINANCIAL MANAGEMENT | WILEY FINANCIAL SERVICES | WEALTHCHARTER RETIREMENT PLANNING | VERITAS INVESTMENT PARTNERS, LLC | THE KIRKWOOD GROUP | THE DONNELLY COMPANY | SULLIVAN WEALTH STRATEGIES | STAPF FINANCIAL SERVICES | SPICER RETIREMENT ADVISORS | SHEPHERD ADVISOR | SEASONS FINANCIAL GROUP | RICHARD A. GAGNE & ASSOCIATES | PERSINGER PLANNING | PASCOLO 271 PRIVATE WEALTH MANAGEMENT | PARTRIDGE WEALTH | NAVALIS WEALTH MANAGMENT | LEXAURUM ADVISORS, LLC | LEXAURUM ADVISORS | LAZOR INSURANCE & FINANCIAL SERVICES | KRANSTUBER WEALTH MANAGEMENT | KOWITZ FINANCIAL GROUP | JR HASSEN WEALTH MANAGEMENT | INTEGRATIVE RISK MANAGEMENT | IN THE GAME WEALTH MANAGEMENT | HERITAGE ADVISORS | HARSHA ADVISORY GROUP | GRANT MARSHALL RETIREMENT & WEALTH PLANNING | GEMINI FINANCIAL ADVISORS | GAMEDAY WEALTH MANAGEMENT | FOCAL POINT FINANCIAL GROUP | ELEMENTAL WEALTH GROUP | CARPENTER AND ASSOCIATES | CAPITAL RESOURCE GROUP
CRD#: 283653 / SEC#: 801-107738
RIA
Registered Investment Advisory firm - (5/10/2016 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Texas(12/5/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 11/26/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LA
LEXAURUM ADVISORS
BLUE SKY FINANCIAL MANAGEMENT | WILEY FINANCIAL SERVICES | WEALTHCHARTER RETIREMENT PLANNING | VERITAS INVESTMENT PARTNERS, LLC | THE KIRKWOOD GROUP | THE DONNELLY COMPANY | SULLIVAN WEALTH STRATEGIES | STAPF FINANCIAL SERVICES | SPICER RETIREMENT ADVISORS | SHEPHERD ADVISOR | SEASONS FINANCIAL GROUP | RICHARD A. GAGNE & ASSOCIATES | PERSINGER PLANNING | PASCOLO 271 PRIVATE WEALTH MANAGEMENT | PARTRIDGE WEALTH | NAVALIS WEALTH MANAGMENT | LEXAURUM ADVISORS, LLC | LEXAURUM ADVISORS | LAZOR INSURANCE & FINANCIAL SERVICES | KRANSTUBER WEALTH MANAGEMENT | KOWITZ FINANCIAL GROUP | JR HASSEN WEALTH MANAGEMENT | INTEGRATIVE RISK MANAGEMENT | IN THE GAME WEALTH MANAGEMENT | HERITAGE ADVISORS | HARSHA ADVISORY GROUP | GRANT MARSHALL RETIREMENT & WEALTH PLANNING | GEMINI FINANCIAL ADVISORS | GAMEDAY WEALTH MANAGEMENT | FOCAL POINT FINANCIAL GROUP | ELEMENTAL WEALTH GROUP | CARPENTER AND ASSOCIATES | CAPITAL RESOURCE GROUP
CRD#: 283653 / SEC#: 801-107738
RIA
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Contact information
Main Address
16010 Metcalf Avenue, Suite 101, Overland Park, KS 66085
Mailing Address
Phone number
(913) 261-9316
Established
Firm type
Fiscal year end
# of Employees
45
SEC notice filing (30 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,641 |
| AUM (Assets Under Management) | $ 1,006,435,215 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
