Stephen J. Schaefer
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.
Stephen James Schaefer was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2005. Stephen had worked at 2 firms and has passed the Series 63 and Series 7 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, 2008 - December 21, 2015
RIVERSTONE INVESTMENT GROUP LLC
January 13, 2005 - May 19, 2006
RIVERSTONE ADVISORS LP
Primary Firm SEC Registration
RIVERSTONE INVESTMENT GROUP LLC
CRD#: 130849 / SEC#: 801-64963
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
Current Firm
RIVERSTONE INVESTMENT GROUP LLC
CRD#: 130849 / SEC#: 801-64963
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26 |
| AUM (Assets Under Management) | $ 10,085,728,389 |
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.
