Jean-emmanuel A. Schaefle
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.
Jean-emmanuel Andre Xavier Schaefle, who also goes by Jean-emmanuel Schaefle, Jesse Schaefle, was a registered financial professional .
Jean-emmanuel is a previously registered financial professional and started their career in finance in 2017. Jean-emmanuel had worked at 4 firms and has passed the Series 66, SIE 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
October 23, 2020 - May 21, 2021
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
October 22, 2020 - May 21, 2021
HERBERT J. SIMS & CO, INC.
December 22, 2017 - October 2, 2019
ALLIANCEBERNSTEIN L.P.
December 19, 2017 - December 19, 2017
ALLIANCEBERNSTEIN L.P.
August 19, 2017 - October 2, 2019
ALLIANCEBERNSTEIN INVESTMENTS, INC.
Primary Firm SEC Registration
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
CRD#: 134510 / SEC#: 801-124853
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
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
CRD#: 134510 / SEC#: 801-124853
Contact information
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 374 |
| AUM (Assets Under Management) | $ 186,784,367 |
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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