Harry S. 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.
Harry Sidney Schaefer was a registered financial professional .
Harry is a previously registered financial professional and started their career in finance in 1971. Harry had worked at 20 firms and has passed the Series 63, SIE, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2015 - December 3, 2015
INTERCOASTAL CAPITAL MARKETS, INC.
February 22, 2012 - May 5, 2015
CAPNET SECURITIES CORPORATION
October 6, 2000 - October 2, 2012
INSTITUTIONAL CAPITAL MANAGEMENT, INC.
May 21, 1998 - August 8, 2000
APS FINANCIAL CORPORATION
August 20, 1997 - March 6, 1998
INSTITUTIONAL CAPITAL MANAGEMENT, INC.
July 28, 1997 - August 7, 1997
HOTOVEC, POMERANZ & CO., LLC
May 8, 1997 - September 4, 1997
SOUTHERN FINANCIAL GROUP, INC.
April 30, 1996 - December 31, 1996
MEYERS POLLOCK ROBBINS, INC.
June 29, 1995 - March 12, 1996
CANTELLA & CO., INC.
October 12, 1994 - May 2, 1995
LEHWALD, OROSEY & PEPE INCORPORATED
February 7, 1994 - September 27, 1994
PHOENIX GOVERNMENT INVESTMENTS, INC.
March 25, 1993 - December 31, 1993
DESHLER-MORRIS SECURITIES, INC.
October 16, 1992 - March 6, 1993
MARCUS, STOWELL & BEYE, INC.
October 16, 1992 - March 6, 1993
MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, INC.
June 25, 1991 - September 29, 1992
GSC SECURITIES, INC.
June 25, 1991 - September 29, 1992
GOVERNMENT SECURITIES CORPORATION
December 10, 1990 - May 20, 1991
MARCUS, STOWELL & BEYE, INC.
December 10, 1990 - May 20, 1991
MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, INC.
December 3, 1986 - January 8, 1991
SCHAEFER SECURITIES, INC.
June 21, 1979 - March 12, 1985
MARCUS, STOWELL & BEYE, INC.
November 30, 1976 - March 31, 1980
WESTCAP SECURITIES, L.P.
June 15, 1973 - April 21, 1976
HIBBARD O'CONNOR & WEEKS
March 1, 1972 - April 6, 1973
HIBBARD, O'CONNOR & WEEKS, INC.
December 1, 1971 - March 4, 1972
SELLERS INVESTMENT COMPANY, INCORPORATED
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 1
Date: 11/29/1971
Registered Representative ExaminationSeries 40
Date: 7/12/1977
Registered Principal ExaminationCurrent Firm
INTERCOASTAL CAPITAL MARKETS, INC.
CRD#: 83 / SEC#: , 8-9698
Contact information
FINRA licenses (38 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 2 |
| Bond | 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.
