Bret C. Schaefer

LANDOLT SECURITIES

LAKE BLUFF, IL 60044

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CRD#: 2577117

Professional summary

Bret Clinton Schaefer, who also goes by Bret Clinton Shaefer, is a registered financial professional currently at LANDOLT SECURITIES, INC. located in Lake Bluff, Illinois.

Bret is registered as a RR (Registered Representative) and started their career in finance in 1995. Bret has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Aliases

Bret Clinton Shaefer

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Bret Clinton Schaefer's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 15, 2021 - Present

LANDOLT SECURITIES, INC.

Office #1: 900 North Shore Drive Suite 279, Lake Bluff, IL 60044

RIA

CRD#: 28352

LAKE BLUFF, IL

Past

September 15, 2014 - October 13, 2021

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

GREENVILLE, WI

Past

September 15, 2014 - October 13, 2021

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

GREENVILLE, WI

Past

July 18, 2012 - September 20, 2012

AUSDAL FINANCIAL PARTNERS, INC.

RIA

CRD#: 7995

OSHKOSH, WI

Past

July 13, 2012 - September 20, 2012

AUSDAL FINANCIAL PARTNERS, INC.

CRD#: 7995

OSHKOSH, WI

Past

February 15, 2006 - September 25, 2014

LANDOLT SECURITIES, INC.

RIA

CRD#: 28352

OSHKOSH, WI

Past

February 15, 2006 - September 25, 2014

LANDOLT SECURITIES, INC.

CRD#: 28352

OSHKOSH, WI

Past

June 21, 2005 - February 21, 2006

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

March 4, 2002 - June 24, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

February 2, 1996 - April 5, 2002

B. C. ZIEGLER AND COMPANY

CRD#: 61

CHICAGO, IL

Past

January 24, 1995 - June 21, 1995

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

January 24, 1995 - June 21, 1995

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LANDOLT SECURITIES, INC.

CRD#: 28352 / SEC#: 801-135200, 8-43645

RIA

Registered Investment Advisory firm - SEC (2/23/2026 Approved)

Illinois

Registered Investment Advisory firm - SEC (2/24/2026 Terminated)

Indiana

Registered Investment Advisory firm - SEC (2/24/2026 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (3/3/2026 Terminated)

Ohio

Registered Investment Advisory firm - SEC (2/25/2026 Terminated)

Texas

Registered Investment Advisory firm - SEC (2/24/2026 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (2/24/2026 Terminated)

Wyoming

Registered Investment Advisory firm - SEC (2/24/2026 Termination Requested)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(12/13/2021)

Arizona
(1/27/2022)

Texas
(5/25/2022)

Wisconsin
(11/5/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

What does exam status mean?

State Security Law Exam

Series 65

Status Unavailable

Passed: 5/31/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Status Unavailable

Passed: 1/27/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Status Unavailable

Passed: 1/23/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Status Unavailable

Passed: 10/4/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

LANDOLT SECURITIES, INC.

CRD#: 28352 / SEC#: 801-135200, 8-43645

RIA

Registered Investment Advisory firm - SEC (2/23/2026 Approved)

Illinois

Registered Investment Advisory firm - SEC (2/24/2026 Terminated)

Indiana

Registered Investment Advisory firm - SEC (2/24/2026 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (3/3/2026 Terminated)

Ohio

Registered Investment Advisory firm - SEC (2/25/2026 Terminated)

Texas

Registered Investment Advisory firm - SEC (2/24/2026 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (2/24/2026 Terminated)

Wyoming

Registered Investment Advisory firm - SEC (2/24/2026 Termination Requested)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

900 North Shore Drive Suite 279, Lake Bluff, IL 60044

Mailing Address

900 North Shore Drive Suite 279, Lake Bluff, IL 60044

Phone number

(847) 838-5151

Established

Wisconsin since 11/09/1989

Firm type

Corporation

Fiscal year end

March

Firm Size

Small

# of Employees

SEC notice filing (14 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

LSI BROCHURE (6/29/2026)

Direct owners and executive officers

Name	Position	CRD#
MCKIERNAN, DONALD TRENDLEY	CEO, CO-CCO (BD ONLY) & FINOP	1305965
MCKIERNAN, MATTHEW RICHARD	CHIEF FINANCIAL OFFICER AND CCO (IA ONLY)	7006128
REINHARD, TYLER JOHN	COO / CO-CCO (BD ONLY)	6366204

Regulatory assets under management

Total Number of Accounts	301
AUM (Assets Under Management)	$ 137,829,035

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Bret C. Schaefer

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Bret Clinton Schaefer's CRS (Customer Relationship Summary).

Certified licenses

Experience

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

AUSDAL FINANCIAL PARTNERS, INC.

AUSDAL FINANCIAL PARTNERS, INC.

LANDOLT SECURITIES, INC.

LANDOLT SECURITIES, INC.

LPL FINANCIAL LLC

CITIGROUP GLOBAL MARKETS INC.

B. C. ZIEGLER AND COMPANY

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

LANDOLT SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Passed: 5/31/2000

Series 63

Passed: 1/27/1995

SIE

Passed: 10/1/2018

Series 7

Passed: 1/23/1995

Series 24

Passed: 10/4/2006

FINRA

Current Firm

LANDOLT SECURITIES, INC.

Contact information

SEC notice filing (14 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

LANDOLT SECURITIES, INC.

TRUST BUT VERIFY

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