Joseph A. Schefler
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.
Joseph A Schefler, who also goes by Joseph Schefler, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1966. Joseph had worked at 16 firms and has passed the Series 63, SIE, PC, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2016 - May 15, 2019
TIGRESS FINANCIAL PARTNERS, LLC
February 2, 2016 - February 4, 2016
SSC NY CORP.
July 1, 2013 - January 29, 2016
BURNHAM SECURITIES INC.
February 21, 2012 - April 11, 2012
NATIONAL SECURITIES CORPORATION
October 8, 2009 - February 24, 2012
FAGENSON & CO., INC.
May 2, 2008 - November 28, 2008
LADENBURG THALMANN & CO. INC.
January 18, 2006 - May 16, 2008
PUNK, ZIEGEL & COMPANY, L.P.
February 20, 2004 - July 13, 2005
MAXIM GROUP LLC
March 4, 2002 - February 20, 2004
FIRST MONTAUK SECURITIES CORP.
January 2, 2002 - March 1, 2002
OPPENHEIMER & CO. INC.
July 28, 1992 - January 2, 2002
JOSEPHTHAL & CO., INC.
April 13, 1992 - July 29, 1992
LADENBURG THALMANN & CO. INC.
April 18, 1990 - May 2, 1991
BARCLAYS DE ZOETE WEDD INCORPORATED
January 6, 1977 - March 13, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
February 6, 1976 - January 6, 1977
DREXEL BURNHAM & CO. INCORPORATED
May 3, 1972 - February 6, 1976
DREXEL BURNHAM & CO. INCORPORATED
February 21, 1966 - June 4, 1972
J.P. MORGAN SECURITIES LLC
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
PC
Date: 8/29/1977
AMEX Put and Call ExamSeries 1
Date: 2/18/1966
Registered Representative ExaminationSeries 8
Date: 3/10/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TIGRESS FINANCIAL PARTNERS, LLC
CRD#: 154717 / SEC#: 801-112815, 8-68671
Contact information
FINRA licenses (35 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 17 |
| AUM (Assets Under Management) | $ 11,558,041 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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