Kevin W. Schaefer
Professional summary
Kevin William Schaefer is a registered financial advisor currently at ALLSTATE FINANCIAL SERVICES, LLC located in Bronx, New York.
Kevin is registered as a RR (Registered Representative) and started their career in finance in 1984. Kevin has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 3, Series 51, Series 4, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kevin William Schaefer's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 2, 2007 - Present
ALLSTATE FINANCIAL SERVICES, LLC
Office #1: 1026 Morris Park Ave Ste A, Bronx, NY 10461-1411October 5, 2006 - November 15, 2006
CHASE INVESTMENT SERVICES CORP.
October 4, 2006 - November 15, 2006
CHASE INVESTMENT SERVICES CORP.
March 25, 2003 - October 4, 2006
BNY INVESTMENT CENTER INC.
August 29, 2002 - March 11, 2003
QUICK & REILLY, INC.
August 7, 2000 - March 11, 2003
QUICK & REILLY, INC.
November 24, 1998 - November 15, 2000
FIS SECURITIES, INC.
October 29, 1993 - August 7, 2000
FLEET ENTERPRISES, INC.
August 27, 1993 - October 2, 1993
EURO-ATLANTIC SECURITIES INC.
June 29, 1989 - August 31, 1989
JONATHAN ALAN & CO., INC.
April 13, 1989 - June 23, 1989
ALLIED CAPITAL GROUP, INC.
March 6, 1989 - March 28, 1989
U.S. ADVISORS, INC.
March 8, 1988 - March 10, 1989
INVESTORS CENTER, INC.
June 12, 1986 - March 15, 1988
UBS FINANCIAL SERVICES INC.
September 18, 1985 - June 25, 1986
LEHMAN BROTHERS INC.
July 26, 1984 - September 9, 1985
FIRST JERSEY SECURITIES, 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
(3/14/2007)
(2/5/2007)
Exams
FINRA
Current Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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