Philip 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.
Philip Aaron Schaefer, who also goes by Phil Schaefer, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1969. Philip had worked at 6 firms and has passed the Series 63, PC, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 2009 - August 24, 2009
CAZENAVE AND CO., INC.
September 8, 1997 - May 10, 2007
CAZENAVE AND CO., INC.
June 24, 1993 - September 6, 1995
ONE MARKET SECURITIES
May 18, 1992 - June 15, 1993
MOORS & CABOT, INC.
October 18, 1973 - April 4, 1992
J.P. MORGAN SECURITIES LLC
October 21, 1971 - October 27, 1973
LEHMAN BROTHERS INCORPORATED
April 17, 1969 - October 3, 1971
HAYDEN STONE INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 6/1/1977
AMEX Put and Call ExamSeries 1
Date: 7/14/1967
Registered Representative ExaminationCurrent Firm
CAZENAVE AND CO., INC.
CRD#: 20721 / SEC#: , 8-38442
Contact information
Documents
Red Flags
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