Robert A. Schaefer
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.
Robert Alan Schaefer, who also goes by Robert A Schaefer, Robert A Schaeffer, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1998. Robert had worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2013 - September 3, 2013
ALIGHT FINANCIAL SOLUTIONS, LLC
January 20, 2005 - November 9, 2012
VANGUARD MARKETING CORPORATION
March 27, 2002 - February 7, 2005
CITISTREET FINANCIAL SERVICES LLC
November 26, 2001 - February 7, 2005
CITISTREET EQUITIES LLC
October 1, 2000 - June 4, 2001
WELLS FARGO CLEARING SERVICES, LLC
June 13, 2000 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
October 21, 1998 - March 17, 2000
TRANSAMERICA SECURITIES SALES CORPORATION
January 27, 1998 - October 12, 1998
CAPITAL BROKERAGE CORPORATION
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
ALIGHT FINANCIAL SOLUTIONS, LLC
CRD#: 36509 / SEC#: , 8-47344
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
Red Flags
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