Bertram J. Schaeffer
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Bertram John Schaeffer was a registered financial professional .
Bertram is a previously registered financial professional and started their career in finance in 1984. Bertram had worked at 7 firms and has passed the Series 63, Series 65, Series 7 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2010 - November 19, 2015
RCL ADVISORS, LLC
October 29, 2007 - February 16, 2011
GRANT WILLIAMS L.P.
November 23, 2005 - October 31, 2006
UBS FINANCIAL SERVICES INC.
September 9, 2004 - October 31, 2006
UBS FINANCIAL SERVICES INC.
March 31, 1998 - April 20, 2004
ERNST & YOUNG INVESTMENT ADVISERS LLP
October 7, 1988 - November 27, 1989
RADNOR FINANCIAL ADVISORS, INC.
April 5, 1986 - October 21, 1986
PHILADELPHIA CORPORATION FOR INVESTMENT SERVICES
March 22, 1984 - June 12, 1986
UBS ASSET MANAGEMENT (US) INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 2
Date: 7/23/1996
Non-Member General Securities ExaminationCurrent Firm
RCL ADVISORS, LLC
CRD#: 142919 / SEC#: 801-67508
Contact information
Red Flags
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