Steven W. Schaefer
Professional summary
Steven Walter Schaefer was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Steven is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Steven had worked at 12 firms, which includes FIRST PROVIDENCE FINANCIAL GROUP LLC, WALSH MANNING SECURITIES LLC, PRUDENTIAL EQUITY GROUP LLC, FIRST ASSET MANAGEMENT INC., GKN SECURITIES CORP., FIRST CHOICE SECURITIES CORP., CASTLE SECURITIES CORP., KOCHCAPITAL, SHELTER ROCK SECURITIES CORP., U.S. ADVISORS INC., WELLSHIRE SECURITIES INC., INVESTORS CENTER INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 1998 - January 2, 2002
FIRST PROVIDENCE FINANCIAL GROUP, LLC
October 6, 1995 - August 4, 1998
WALSH MANNING SECURITIES, LLC
January 30, 1993 - August 30, 1995
PRUDENTIAL EQUITY GROUP, LLC
November 15, 1991 - February 11, 1993
FIRST ASSET MANAGEMENT, INC.
May 20, 1991 - October 17, 1991
GKN SECURITIES CORP.
March 13, 1991 - April 25, 1991
FIRST CHOICE SECURITIES CORP.
May 21, 1990 - September 6, 1990
CASTLE SECURITIES CORP.
January 19, 1990 - June 11, 1990
KOCHCAPITAL
May 11, 1989 - November 27, 1989
SHELTER ROCK SECURITIES CORP.
April 18, 1989 - May 13, 1989
U.S. ADVISORS, INC.
April 7, 1989 - May 5, 1989
WELLSHIRE SECURITIES, INC.
November 23, 1988 - March 10, 1989
INVESTORS CENTER, 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 55
Date: 2/2/2001
Limited Representative-Equity Trader ExamCurrent Firm
FIRST PROVIDENCE FINANCIAL GROUP, LLC
CRD#: 39469 / SEC#: , 8-48710
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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