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Karen Patricia Schaeffer

Karen P. Schaeffer

SCHAEFFER FINANCIAL
ROCKVILLE, MD 20853
Some features on this profile are disabled
CRD#: 705691
Karen Patricia Schaeffer

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.
The advisor shows no other business activity.

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

BD
CRD#: 1763
ROCKVILLE, MD
Past

October 20, 1988 - April 26, 1989

CAREY JAMISON & COMPANY

BD
CRD#: 14129
Past

March 30, 1987 - October 19, 1988

HIBBARD BROWN & CO., INC.

BD
CRD#: 18246
NEW YORK, NY
Past

July 2, 1985 - March 30, 1987

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
Past

March 3, 1981 - July 18, 1985

FSC SECURITIES CORPORATION

BD
CRD#: 7461
Past

March 18, 1980 - March 27, 1981

INDEPENDENT FINANCIAL PLANNERS CORPORATION

BD
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".
SF
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)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/7/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/11/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/19/1983
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 3/11/1980
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/20/1983
General Securities Principal Examination

Current Firm

SF
SCHAEFFER FINANCIAL LLC
SCHAEFFER FINANCIAL | SCHAEFFER FINANCIAL LLC

CRD#: 133697 / SEC#: 801-63790

RIA
Registered Investment Advisory firm - (1/3/2005 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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
7

SEC notice filing (10 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (3/2/2026)

Regulatory assets under management

Total Number of Accounts247
AUM (Assets Under Management)$ 257,695,379

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.

Company Information

SCHAEFFER FINANCIAL LLC

CRD#: 133697Rockville, MD 20853

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