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Adam L Schaeffer

CRD# 6219234·Registered 2013 - 2024
Previously Registered: Being a previously registered professional could mean that Adam 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.

Professional Summary

Adam L Schaeffer, who also goes by Adam Lee Schaeffer, Adam Schaeffer, was a registered financial advisor. Adam was a previously registered financial professional and started their career in finance 2013 - 2024. Adam had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Adam Lee Schaeffer, Adam Schaeffer

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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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

13 years in the financial services industry

Current & Past Employments

AVANTAX ADVISORY SERVICES·CRD# 104556
RIA
Lancaster, PA
April 20, 2018 - December 31, 2024
AVANTAX INVESTMENT SERVICES, INC.·CRD# 13686
BD
Lancaster, PA
August 29, 2017 - December 31, 2024
PARSONEX SECURITIES, INC.·CRD# 144412
BD
Englewood, CO
July 15, 2014 - September 8, 2017
PFS INVESTMENTS INC.·CRD# 10111
BD
Lancaster, PA
August 28, 2013 - July 2, 2014

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Current Firm

AA
AVANTAX ADVISORY SERVICES

1ST GLOBAL ADVISORY SERVICES | HD VEST ADVISORY SERVICES | H.D. VEST ADVISORY SERVICES, INC | AVANTAX WEALTH MANAGEMENT | AVANTAX ADVISORY SERVICES, INC. | AVANTAX ADVISORY SERVICES

CRD#: 104556 / SEC#: 801-29892

Contact Information

Main Address

3200 Olympus Blvd Suite 100, Dallas, TX 75019

Phone Number

(972) 870-6000

# of Employees

2,278

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV 2A FIRM BROCHURE (3/31/2025)

Regulatory Assets Under Management

Total Number of Accounts

140,306

AUM (Assets Under Management)

$46,109,939,749

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
12/13/2024Cover PageReport
11/28/2023Cover PageReport

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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.

1) Worship Center~'NIR'~2384 New Holland Pike~Lancaster~PA~17601~Other~Other~12/9/2019~8hrs~0hrs~I am a volunteer and will be leading a class that deals with general finances such as budgeting, saving, reducing debt, etc. The class is called "Financial Peace University". We will have this class two times a year for 9 weeks each time. 2) CISCO SYSTEMS POSITION: Technical Solutions Architect NATURE: I provide technology solutions support in this position. INVESTMENT RELATED: No NUMBER OF HOURS: 140 SECURITIES TRADING HOURS: 130 START DATE: 11/01/2014 ADDRESS: 170 West Tasman Drive, San Jose CA 95134, United States DESCRIPTION: I provide technical guidance and support around technical solutions. The technology consist of collaboration meetings technology, calling technology and the related supporting software and hardware. 3) FULL SPAN SOLUTIONS LLC POSITION: Owner/Sole Proprietor NATURE: Technology Consulting INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 10 START DATE: 07/01/2013 ADDRESS: 29 Pleasant St, Lancaster PA 17602, United States DESCRIPTION: I work on computers, network technologies and telephone systems. I also perform all accounting functions for the business functions. Am the sole member of this business. 4) CORE TRANSIT LLC POSITION: President / Owner NATURE: This business provides wholesale internet access services. INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 20 START DATE: 11/29/2023 ADDRESS: 29 Pleasant St, Lancaster PA 17602, United States DESCRIPTION: I am the sole owner of this business and manage all accounts, projects, sales, etc. 5) AVANTAX INSURANCE AGENCY AND/OR AVANTAX INSURANCE SERVICES POSITION: Agent NATURE: Provide insurance services through Avantax insurance agency. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/16/2024 ADDRESS: 29 Pleasant St, Lancaster PA 17602, United States DESCRIPTION: Selling and offering life insurance services.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Feb 2018About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 2013About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Aug 2013About the Series 6 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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