Jeffrey K Schuppel
Professional Summary
Jeffrey K Schuppel, who also goes by Jeff Schuppel, was a registered financial advisor. Jeffrey was a previously registered financial professional and started their career in finance 1991 - 2019. 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jeff Schuppel
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
36 years in the financial services industry
Current & Past Employments
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Current Firm
FOREST SECURITIES,INC.
Contact Information
Established
Iowa since 06/16/1992Firm Type
CorporationFiscal Year End
DecemberDocuments
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
3Arbitration
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 50 — Municipal Advisor Representative Qualification Exam
Passed Feb 2016About the Series 50 examSeries 54 — Municipal Advisor Principal Qualification Examination
Passed Jun 2019About the Series 54 examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed May 2011About the Series 28 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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