Jeffrey K. Schuppel
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.
Jeffrey K Schuppel, who also goes by Jeff Schuppel, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1991. Jeffrey had worked at 4 firms and has passed the Series 63, SIE, Series 50, Series 7, Series 52, Series 54, Series 24, Series 28 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 28, 2015 - December 6, 2019
FOREST SECURITIES,INC.
October 10, 2012 - February 13, 2018
ENTREX CAPITAL MARKET, LLC
October 19, 2000 - January 15, 2010
MESIROW FINANCIAL, INC.
July 18, 1991 - September 20, 2000
BERNARDI 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
Exams
Series 28
Date: 5/26/2011
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
FOREST SECURITIES,INC.
CRD#: 16255 / SEC#: , 8-33568
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIVE TRIBAL ALLIANCE, LLC | SOLE SHAREHOLDER | |
| DUNNE, MICHAEL FITZGERALD | PRESIDENT/COO/FINOP/CCO | 1676474 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
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.
