Harold W. Schaeffer

Some features on this profile are disabled

CRD#: 732852

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.

Harold William Schaeffer was a registered financial professional .

Harold is a previously registered financial professional and started their career in finance in 1981. Harold had worked at 7 firms and has passed the Series 63, SIE, Series 5 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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)

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

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

Past

August 21, 1992 - August 27, 2020

ARLINGTON SECURITIES, INC.

RIA

CRD#: 19596

ST. LOUIS, MO

Past

May 2, 1990 - August 27, 2020

ARLINGTON SECURITIES, INC.

CRD#: 19596

ST. LOUIS, MO

Past

February 14, 1990 - September 6, 1990

AMERICAN CAPITAL EQUITIES, INC.

CRD#: 13272

Past

September 30, 1989 - February 27, 1990

ADVEST, INC.

CRD#: 10

HARTFORD, CT

Past

March 26, 1985 - September 30, 1989

NEWHARD, COOK & CO. INCORPORATED

CRD#: 619

ST. LOUIS, MO

Past

April 6, 1984 - March 11, 1985

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

October 11, 1982 - April 11, 1984

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

Past

June 23, 1981 - November 9, 1982

MORGAN STANLEY DW INC.

CRD#: 7556

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 7/1/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 5

Date: 11/16/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 6/20/1981

General Securities Representative Examination

Current Firm

ARLINGTON SECURITIES, INC.

ARLINGTON SECURITIES | FORT DEARBORN INVESTMENT CORP. | ARLINGTON SECURITIES, INCORPORATED | ARLINGTON SECURITIES, INC.

CRD#: 19596 / SEC#: 801-66316, 8-38098

RIA

Registered Investment Advisory firm - SEC (5/14/2007 Terminated)

Missouri

Registered Investment Advisory firm - SEC (5/4/1990 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

140 Marine Lane, St Louis, MO 63146-2236

Mailing Address

140 Marine Lane, St. Louis, MO 63146-2236

Phone number

(314) 878-1954

Established

Missouri since 04/28/1997

Firm type

Corporation

Fiscal year end

October

Firm Size

Small

# of Employees

FINRA licenses (40 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
HILLARD, ROBERT EARL	CEO, CFO	1005606
CULLEN, SUSAN MARIE	VICE PRESIDENT, CCO-BD	2015668
WINGENBACH, TIMOTHY SCOTT	PRESIDENT, COO, CCO-IA	5007031

Regulatory assets under management

Total Number of Accounts	257
AUM (Assets Under Management)	$ 77,254,990

Disclosures

Regulatory Event

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Harold W. Schaeffer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ARLINGTON SECURITIES, INC.

AMERICAN CAPITAL EQUITIES, INC.

ADVEST, INC.

NEWHARD, COOK & CO. INCORPORATED

UBS FINANCIAL SERVICES INC.

KIDDER, PEABODY & CO. INCORPORATED

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/1/1981

SIE

Date: 10/1/2018

Series 5

Date: 11/16/1981

Series 7

Date: 6/20/1981

Current Firm

ARLINGTON SECURITIES, INC.

Contact information

FINRA licenses (40 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

ARLINGTON SECURITIES, INC.

TRUST BUT VERIFY

Similar Advisors