Sandra Maria Schaufler
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.
Sandra Maria Schaufler, who also goes by Sandra Maria Ackermann-schaufler, Sandra Ackermann-schaufler, Sandra Maria Ackermann-schaufler, Sandra M Schaufler, Sandra Maria Schaufler, was a registered financial professional .
Sandra Maria is a previously registered financial professional and started their career in finance in 2001. Sandra Maria had worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 52 and Series 17 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2022 - November 7, 2024
NUVEEN SECURITIES, LLC
September 7, 2021 - January 10, 2022
XT CAPITAL PARTNERS, LLC
August 10, 2011 - October 7, 2019
SEI INVESTMENTS DISTRIBUTION CO.
March 2, 2010 - January 23, 2020
SEI INVESTMENTS MANAGEMENT CORP
January 2, 2008 - August 17, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 3, 2007 - August 17, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 11, 2004 - April 13, 2006
DEAM INVESTOR SERVICES, INC.
January 17, 2002 - January 31, 2003
UNICREDIT CAPITAL MARKETS LLC
July 5, 2001 - July 31, 2001
CA IB SECURITIES (NEW YORK) INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 17
Date: 7/3/2001
Limited Registered Representative ExaminationCurrent Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
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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