Joseph L. Shaefer
Professional summary
Joseph Lee Shaefer is a registered financial advisor currently at STANFORD WEALTH MANAGEMENT located in Incline Village, Nevada.
Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1972. Joseph has 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) - RIA
Click below to view Joseph Lee Shaefer's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 16, 1997 - Present
STANFORD WEALTH MANAGEMENT
April 30, 1998 - February 8, 2001
PTI SECURITIES & FUTURES L. P.
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.
Highlighted states indicate IAR registrations
(6/16/1997)
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
STANFORD WEALTH MANAGEMENT
CRD#: 120288 / SEC#: 801-71444
Contact information
Regulatory assets under management
| Total Number of Accounts | 50 |
| AUM (Assets Under Management) | $ 17,000,000 |
Red Flags
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