Greg S. Schaefer
Professional summary
Greg Scott Schaefer was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Greg is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Greg had worked at 16 firms, which includes DILLON SCOTT SECURITIES INC., CANTELLA & CO. INC., JWGENESIS SECURITIES INC., SANDS BROTHERS & CO. LTD., WALDRON & CO. INC., FIMCO SECURITIES GROUP INC., H.J. MEYERS & CO. INC., L.B. SAKS INC., JOSEPHTHAL & CO. INC., QUEST CAPITAL STRATEGIES INC., GKN SECURITIES CORP., HANOVER STERLING & COMPANY LTD., A.S. GOLDMEN & CO. INC., BERKELEY SECURITIES CORPORATION, LEHMAN BROTHERS INC., SOUTH RICHMOND SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 28, 2002 - October 7, 2009
DILLON SCOTT SECURITIES, INC.
November 3, 1999 - December 13, 2000
CANTELLA & CO., INC.
March 23, 1999 - September 15, 1999
JWGENESIS SECURITIES, INC.
November 2, 1998 - January 15, 1999
SANDS BROTHERS & CO., LTD.
February 10, 1998 - July 6, 1998
WALDRON & CO., INC.
June 5, 1997 - December 22, 1997
FIMCO SECURITIES GROUP, INC.
February 7, 1996 - November 15, 1996
H.J. MEYERS & CO., INC.
February 20, 1995 - February 14, 1996
L.B. SAKS, INC.
June 28, 1993 - January 5, 1995
JOSEPHTHAL & CO., INC.
March 9, 1993 - July 7, 1993
QUEST CAPITAL STRATEGIES, INC.
December 11, 1992 - January 14, 1993
GKN SECURITIES CORP.
September 3, 1992 - December 14, 1992
HANOVER, STERLING & COMPANY LTD.
January 14, 1992 - September 11, 1992
A.S. GOLDMEN & CO., INC.
July 26, 1991 - November 1, 1991
BERKELEY SECURITIES CORPORATION
May 8, 1991 - May 28, 1991
LEHMAN BROTHERS INC.
April 12, 1991 - April 29, 1991
SOUTH RICHMOND SECURITIES, INC.
February 21, 1991 - March 14, 1991
GKN SECURITIES CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
DILLON SCOTT SECURITIES, INC.
CRD#: 118755 / SEC#: , 8-53718
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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