Joseph Lee Shaefer
Professional Summary
Joseph Lee Shaefer was a registered financial advisor. Joseph was a previously registered financial professional and started their career in finance 1972 - 2001. 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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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
54 years in the financial services industry
Current & Past Employments
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Current Firm
PTI SECURITIES & FUTURES L. P. | TPHCO | PTI SECURITIES L.P. | PTI SECURITIES & FUTURES L.P.
Contact Information
Main Address
411 S Wells Suite 900, Chicago, IL 60607Mailing Address
411 S Wells Suite 900, Chicago, IL 60607Phone Number
(312) 663-3056Established
Illinois since 12/11/1991Firm Type
PartnershipFiscal Year End
DecemberFirm Size
SmallFINRA licenses (27 States and Territories)
Registered to provide investment advisory services in 0 US 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
4Arbitration
1Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 000 — General Securities Principal Examination
Passed Nov 1972Series 1 — Registered Representative Examination
Passed Nov 1972Series 12 — NYSE Branch Manager Examination
Passed Apr 1981Series 40 — Registered Principal Examination
Passed Dec 1978Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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