Karen P. Schaeffer

SCHAEFFER FINANCIAL LLC

ROCKVILLE, MD 20853

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CRD#: 705691

Professional summary

Karen Patricia Schaeffer, CFP®, who also goes by Karen Patricia Kelly, is a registered financial advisor currently at SCHAEFFER FINANCIAL LLC located in Rockville, Maryland.

Karen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1980. Karen has worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Karen Patricia Kelly

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) FIRM: LINCOLN INSTITUTE OF LAND POLICY. INVESTMENT-RELATED: YES. ADDRESS: 113 BRATTLE STREET, CAMBRIDGE, MA 021382. NATURE OF THE BUSINESS: NONPROFIT PRIVATE OPERATING FOUNDATION. POSITION, TITLE, OR RELATIONSHIP: MEMBER, BOARD OF DIRECTORS. START DATE: 09/2024 NUMBER OF HOURS/MONTH: 8-10. NUMBER OF HOURS DURING TRADING HOURS: 1. DESCRIPTION OF DUTIES: PREPARING FOR, ATTENDING AND ACTIVELY PARTICIPATING IN BORD MEETINGS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karen Patricia Schaeffer'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®

CFP^®

Certified Financial Planner

Start date: 1983

Experience

Current

January 3, 2005 - Present

SCHAEFFER FINANCIAL LLC

Office #1: 4612 Great Oak Road, Rockville, MD 20853

RIA

CRD#: 133697

ROCKVILLE, MD

Past

October 22, 1991 - April 7, 2005

FSA WEALTH PARTNERS

RIA

CRD#: 104513

ROCKVILLE, MD

Past

April 22, 1989 - November 29, 1999

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

ROCKVILLE, MD

Past

October 20, 1988 - April 26, 1989

CAREY JAMISON & COMPANY

CRD#: 14129

Past

March 30, 1987 - October 19, 1988

HIBBARD BROWN & CO., INC.

CRD#: 18246

NEW YORK, NY

Past

July 2, 1985 - March 30, 1987

CETERA WEALTH SERVICES, LLC

CRD#: 13572

Past

March 3, 1981 - July 18, 1985

FSC SECURITIES CORPORATION

CRD#: 7461

Past

March 18, 1980 - March 27, 1981

INDEPENDENT FINANCIAL PLANNERS CORPORATION

CRD#: 653

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".

SCHAEFFER FINANCIAL LLC

SCHAEFFER FINANCIAL | SCHAEFFER FINANCIAL LLC

CRD#: 133697 / SEC#: 801-63790

RIA

Registered Investment Advisory firm - (1/3/2005 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.

Highlighted states indicate IAR registrations

IAR

Maryland
(1/3/2005)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/7/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/11/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/19/1983

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 3/11/1980

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/20/1983

General Securities Principal Examination

Current Firm

SCHAEFFER FINANCIAL LLC

SCHAEFFER FINANCIAL | SCHAEFFER FINANCIAL LLC

CRD#: 133697 / SEC#: 801-63790

RIA

Registered Investment Advisory firm - (1/3/2005 Approved)

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Contact information

Main Address

4612 Great Oak Road, Rockville, MD 20853

Mailing Address

Phone number

(301) 933-5550

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (6/2/2025)

Regulatory assets under management

Total Number of Accounts	435
AUM (Assets Under Management)	$ 223,248,023

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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Firm Stability Insights

Karen P. Schaeffer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karen Patricia Schaeffer's CRS (Customer Relationship Summary).

Certified licenses

Experience

FSA WEALTH PARTNERS

GROVE POINT INVESTMENTS, LLC

CAREY JAMISON & COMPANY

HIBBARD BROWN & CO., INC.

CETERA WEALTH SERVICES, LLC

FSC SECURITIES CORPORATION

INDEPENDENT FINANCIAL PLANNERS CORPORATION

Primary Firm SEC Registration

SCHAEFFER FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/7/1992

Series 63

Date: 4/11/1980

Series 7

Date: 3/19/1983

Series 1

Date: 3/11/1980

Series 24

Date: 12/20/1983

Current Firm

SCHAEFFER FINANCIAL LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SCHAEFFER FINANCIAL LLC

TRUST BUT VERIFY

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