Kurt B. Schaefer
Professional summary
Kurt Bowman Schaefer, CFP®, who also goes by Kurt Bowman Schaefer, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Burlington, Vermont.
Kurt is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Kurt has worked at 14 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 10, Series 9, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Kurt Bowman Schaefer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kurt Bowman Schaefer's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2006
Experience
August 3, 2023 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 111 Main Street, Burlington, VT 05401August 3, 2023 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 111 Main Street, Burlington, VT 05401January 26, 2018 - July 27, 2023
HORACE MANN INVESTORS, INC.
March 25, 2017 - November 22, 2017
MML INVESTORS SERVICES, LLC
March 25, 2017 - November 22, 2017
MML INVESTORS SERVICES, LLC
January 22, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
January 9, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
December 4, 2014 - January 9, 2015
PEOPLE'S SECURITIES, INC.
December 3, 2014 - January 9, 2015
PEOPLE'S SECURITIES, INC.
November 9, 2010 - November 25, 2014
KEY INVESTMENT SERVICES LLC
October 12, 2010 - November 25, 2014
KEY INVESTMENT SERVICES LLC
June 8, 2009 - September 24, 2010
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
April 20, 2009 - September 24, 2010
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
February 18, 2003 - February 6, 2009
VALIC FINANCIAL ADVISORS, INC.
April 12, 1999 - February 6, 2009
VALIC FINANCIAL ADVISORS, INC.
April 9, 1999 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
November 10, 1997 - April 9, 1999
COMMONWEALTH FINANCIAL NETWORK
August 6, 1992 - November 21, 1997
CHARLES SCHWAB & CO., INC.
July 16, 1991 - July 2, 1992
AMERIPRISE ADVISOR SERVICES, INC.
May 22, 1991 - July 2, 1991
MUTUAL FUNDS/AMERICA, INC.
February 13, 1990 - February 13, 1991
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/3/2023)
(8/3/2023)
Exams
Series 8
Date: 4/5/1994
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 17,824 |
| AUM (Assets Under Management) | $ 6,450,375,507 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 | ||
| 12/21/2022 |
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.
Company Information
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484Burlington, VT 05401TRUST BUT VERIFY
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