Carl A. Schaeffer
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.
Carl Aaron Schaeffer was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1974. Carl had worked at 7 firms and has passed the Series 63, Series 7TO, SIE, 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
January 18, 2019 - April 26, 2024
THE INVESTMENT CENTER, INC.
December 1, 2006 - January 15, 2019
QUESTAR CAPITAL CORPORATION
December 15, 2000 - December 1, 2006
USALLIANZ SECURITIES, INC.
February 11, 1999 - December 14, 2000
LOCUST STREET SECURITIES, INC.
April 8, 1996 - December 31, 1998
CINCINNATI ANALYSTS, INC.
October 14, 1974 - March 21, 1995
METROPOLITAN LIFE INSURANCE COMPANY
October 14, 1974 - March 21, 1995
MSI FINANCIAL SERVICES, 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 1
Date: 10/3/1974
Registered Representative ExaminationCurrent Firm
THE INVESTMENT CENTER, INC.
CRD#: 17839 / SEC#: , 8-35826
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 5 |
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.
