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Joseph Paul Schiwinger

CRD# 413500·Registered 1968 - 2002
Previously Registered: Being a previously registered professional could mean that Joseph 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.

Professional Summary

Joseph Paul Schiwinger was a registered financial advisor. Joseph was a previously registered financial professional and started their career in finance 1968 - 2002. Joseph had worked at 6 firms and has passed the Series 7 and Series 1 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

58 years in the financial services industry

Current & Past Employments

FINANCIAL PLANS AND CONCEPTS, INC. (FPC)·CRD# 118008
RIA
St. Louis, MO
March 27, 2000 - December 31, 2002
FIRST HEARTLAND CAPITAL, INC.·CRD# 32460
BD
St. Louis, MO
February 3, 1995 - October 31, 2013
OSAIC WEALTH, INC.·CRD# 23131
BD
Jersey City, NJ
November 19, 1989 - February 6, 1995
INTEGRATED RESOURCES EQUITY CORPORATION·CRD# 6403
BD
June 23, 1983 - November 19, 1989
GENERAL AMERICAN LIFE INSURANCE COMPANY·CRD# 3963
BD
February 5, 1982 - December 22, 1987
SYMETRA SECURITIES, INC.·CRD# 739
BD
June 18, 1968 - November 20, 1978

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Current Firm

No current employment

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 7 — General Securities Representative Examination

Passed Feb 1984About the Series 7 exam

Series 1 — Registered Representative Examination

Passed Jun 1968

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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