Jacob M. Schaefer

CETERA INVESTMENT ADVISERS LLC

LOUISVILLE, KY 40223

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CRD#: 6418562

Professional summary

Jacob March Schaefer, who also goes by Jake Schaefer, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Louisville, Kentucky and CETERA WEALTH SERVICES, LLC located in Louisville, Kentucky.

Jacob is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Jacob has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jake Schaefer

Other business activities

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. NAME OF OTHER BUSINESS: COMMONWEALTH CAPITAL MANAGEMENT, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES, WHICH INCLUDES FINANCIAL PLANNING, INVESTMENT ADVISORY, INSURANCE- FIXED AND VARIABLE. POSITION/TITLE/RELATIONSHIP: ADVISOR START DATE: 07/2022 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: ADVISOR; 2. NAME OF OTHER BUSINESS: S&N REAL ESTATE; INVESTMENT RELATED: NO; ADDRESS: 31320 SOLON RD UNIT 17; SOLON, OH 44139; NATURE OF BUSINESS: COMMERCIAL REAL ESTATE RENTAL; START DATE: 4/2023; POSITION/TITLE/RELATIONSHIP: PARTIAL OWNER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: NO RESPONSIBILITIES BESIDES COVERING 25% OF OPERATING COSTS AND MORTGAGE REPAYMENTS;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jacob March Schaefer's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 10503 Timberwood Circle Suite 205, Louisville, KY 40223

RIA

CRD#: 105644

LOUISVILLE, KY

Current

August 8, 2022 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 10503 Timberwood Circle Suite 205, Louisville, KY 40223

CRD#: 13572

Louisville, KY

Past

August 8, 2022 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

LAKEWOOD, OH

Past

February 9, 2021 - August 9, 2022

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

ROCKY RIVER, OH

Past

February 9, 2021 - August 9, 2022

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

ROCKY RIVER, OH

Past

November 26, 2019 - January 26, 2021

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

CLEVELAND, OH

Past

November 25, 2019 - January 26, 2021

CITIZENS SECURITIES, INC.

CRD#: 39550

CLEVELAND, OH

Past

June 18, 2019 - December 2, 2019

KEY INVESTMENT SERVICES LLC

RIA

CRD#: 136300

Brooklyn, OH

Past

June 18, 2019 - December 2, 2019

KEY INVESTMENT SERVICES LLC

CRD#: 136300

Brooklyn, OH

Past

June 28, 2016 - May 30, 2019

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

PITTSBURGH, PA

Past

May 20, 2016 - May 30, 2019

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

PITTSBURGH, PA

Past

June 15, 2015 - August 26, 2015

INVESTACORP, INC.

CRD#: 7684

CANFIELD, OH

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(8/27/2024)

Kentucky
(8/8/2022)

IAR

Kentucky
(6/29/2023)

Michigan
(1/2/2025)

North Carolina
(8/8/2022)

Ohio
(8/8/2022)

Tennessee
(1/2/2025)

Virginia
(8/8/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/28/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/15/2015

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Jacob M. Schaefer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jacob March Schaefer's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

KEY INVESTMENT SERVICES LLC

KEY INVESTMENT SERVICES LLC

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

INVESTACORP, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/28/2016

SIE

Date: 10/1/2018

Series 7

Date: 6/15/2015

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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