Joseph P. Schiefelbein
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.
Joseph Peter Schiefelbein, who also goes by Joe Schiefelbein, Joseph P Schiefelbein, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1993. Joseph had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2011 - March 9, 2020
NUVEEN SECURITIES, LLC
November 9, 2009 - January 3, 2011
QUASAR DISTRIBUTORS, LLC
January 2, 2009 - May 13, 2009
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
February 19, 2008 - January 2, 2009
RIVERSOURCE DISTRIBUTORS, INC.
March 15, 1993 - July 3, 2006
IDS LIFE INSURANCE COMPANY
March 15, 1993 - February 19, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
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
Current Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
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.
