Ursula Z. Schaufler
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.
Ursula Zimmermann Schaufler, who also goes by Ursula Marlene Blanton, Ursula Marlene Schaufler, Ursula Marlene Zimmermann, was a registered financial professional .
Ursula is a previously registered financial professional and started their career in finance in 1970. Ursula had worked at 11 firms and has passed the Series 65, Series 63, Series 7TO, Series 99TO, SIE, PC, Series 18, Series 1, Series 53, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 27, 2017 - July 1, 2025
HENLEY & COMPANY LLC
September 30, 2005 - November 27, 2017
PETERSEN INVESTMENTS, INC.
January 6, 2004 - September 30, 2005
PHILADELPHIA CORPORATION FOR INVESTMENT SERVICES
July 14, 1994 - January 5, 2004
JANNEY MONTGOMERY SCOTT LLC
January 2, 1992 - July 21, 1994
OPPENHEIMER & CO. INC.
November 1, 1989 - December 31, 1991
W.H. NEWBOLD'S SON & CO., INC.
June 3, 1988 - November 6, 1989
FIRST UNION CAPITAL MARKETS CORP.
March 7, 1986 - June 7, 1988
SCHAFFER, NECKER & CO.
January 12, 1984 - February 19, 1986
HOPPER SOLIDAY & CO., INC.
April 11, 1977 - August 8, 1983
HESS, GRANT & COMPANY, INC.
March 26, 1970 - March 31, 1971
HAYDEN STONE 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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationPC
Date: 6/1/1977
AMEX Put and Call ExamSeries 18
Date: 4/4/1977
Securities Industry Rules and Regulations ExaminationSeries 1
Date: 3/23/1970
Registered Representative ExaminationCurrent Firm
HENLEY & COMPANY LLC
CRD#: 131453 / SEC#: , 8-66463
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
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.
