Stephen D. Schaffer
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.
Stephen Duffy Schaffer was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1987. Stephen had worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 2002 - July 7, 2020
ICAP SECURITIES USA LLC
November 25, 1997 - January 25, 2002
ICAP SECURITIES USA LLC
January 4, 1996 - November 20, 1997
INTERCAPITAL GOVERNMENT SECURITIES INC.
January 1, 1994 - December 4, 1995
GUGGENHEIM INVESTOR SERVICES, LLC
February 6, 1992 - November 22, 1993
HILLIARD FARBER SECURITIES CORP.
February 6, 1992 - November 22, 1993
DEALERWEB LLC
March 7, 1987 - December 9, 1991
MANUFACTURERS HANOVER SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 3/13/2022
General Securities Representative ExaminationCurrent Firm
ICAP SECURITIES USA LLC
CRD#: 19739 / SEC#: , 8-37947
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ICAP GLOBAL BROKING INC. | SOLE MEMBER | |
| BERNARDO, SHAWN FRANCIS | CEO | 2513376 |
| DESIMONE, LISA MARIE | CHIEF COMPLIANCE OFFICER | 2691368 |
| GOULET, STEPHEN PAUL | SENIOR MANAGING DIRECTOR/GENERAL COUNSEL/SECRETARY | 4769810 |
| MURPHY, GREGORY FRANCIS | CHIEF OPERATING OFFICER | 1483320 |
| PEZEU, CHRISTIAN JEAN MICHEL | PRINCIPAL FINANCIAL OFFICER | 5661987 |
Disclosures
| Regulatory Event | 3 |
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.
