William F. Schaufert
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.
William Ferd Schaufert, who also goes by Bill Schaufert, William F Schaufert, William Fred Schaufert, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1973. William had worked at 12 firms and has passed the Series 65, Series 63, Series 6 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2014 - August 2, 2021
FIDUCIARY WEALTH MANAGEMENT, LLC.
June 12, 2003 - December 13, 2004
SII INVESTMENTS, INC.
April 3, 2002 - December 13, 2004
SII INVESTMENTS, INC.
August 1, 1995 - October 28, 1998
VOYA FINANCIAL ADVISORS, INC.
August 7, 1992 - August 1, 1995
RELIASTAR FINANCIAL MARKETING CORP.
August 14, 1987 - November 25, 1987
UR FINANCIAL, INC.
October 17, 1985 - October 14, 1987
GREAT LAKES SECURITIES INC.
July 17, 1985 - October 7, 1985
MUTUAL SERVICE CORPORATION
March 14, 1977 - July 1, 1977
FUNDSELECT ADVISERS, INC.
February 6, 1975 - February 8, 1976
USLIFE EQUITY SALES CORP
April 24, 1973 - February 24, 1975
AMERICAN EXPRESS FINANCIAL CORPORATION
April 24, 1973 - February 24, 1975
AMERIPRISE FINANCIAL SERVICES, LLC
April 24, 1973 - February 24, 1975
IDS LIFE INSURANCE COMPANY
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: 4/14/1973
Registered Representative ExaminationCurrent Firm
FIDUCIARY WEALTH MANAGEMENT, LLC.
CRD#: 166501 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 62 |
| AUM (Assets Under Management) | $ 5,535,407 |
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.
