Joseph L. Shaefer
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 Lee Shaefer was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1972. Joseph had worked at 6 firms and has passed the Series 63, Series 000, Series 1, Series 27, Series 12, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 1998 - February 8, 2001
PTI SECURITIES & FUTURES L. P.
June 16, 1997 - December 31, 2025
STANFORD WEALTH MANAGEMENT
December 12, 1992 - May 14, 1996
PTI SECURITIES & FUTURES L. P.
February 1, 1979 - December 31, 1990
CHARLES SCHWAB & CO., INC.
October 18, 1978 - March 10, 1979
FIRST CITIZENS MUNICIPAL CORPORATION
May 15, 1978 - November 13, 1978
COMSTOCK INVESTMENTS, INC.
November 21, 1972 - June 30, 1978
KIDDER, PEABODY & CO., INCORPORATED
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 000
Date: 11/18/1972
General Securities Principal ExaminationSeries 1
Date: 11/16/1972
Registered Representative ExaminationSeries 12
Date: 4/11/1981
NYSE Branch Manager ExaminationSeries 40
Date: 12/8/1978
Registered Principal ExaminationCurrent Firm
PTI SECURITIES & FUTURES L. P.
CRD#: 29275 / SEC#: , 8-44412
Contact information
FINRA licenses (27 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HAUGH INC,. | GENERAL PARTNER | |
| NKH CORPORATION | LIMITED PARTNER | |
| DYER, JOHN ROBERT | LIMITED PARTNER | |
| SHAPIRO, MELVIN | LIMITED PARTNER | |
| SPITALNY, ROBIN | LIMITED PARTNER | 1267339 |
| HAUGH, DANIEL JOHN | CHIEF COMPLIANCE OFFICER, FINOP, EXECUTIVE REPRESENTATIVE, AMLCO, ROSFP | 2162854 |
| HAUGH, THOMAS PATRICK | CEO - EXECUTIVE OFFICER | |
| NAJARIAN, JON ARTHUR | LIMITED PARTNER |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
