Louis J. Schaufele
Professional summary
Louis John Schaufele III was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Louis is a previously registered financial advisor and started their career in finance in 1979. Prior to being barred, Louis had worked at 7 firms, which includes J.P. MORGAN SECURITIES LLC, STANFORD GROUP COMPANY, BANC OF AMERICA INVESTMENT SERVICES INC., BANC OF AMERICA SECURITIES LLC, LEHMAN BROTHERS INC., CREDIT SUISSE SECURITIES (USA) LLC, CITIGROUP GLOBAL MARKETS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2009 - August 19, 2011
J.P. MORGAN SECURITIES LLC
March 13, 2009 - March 27, 2009
J.P. MORGAN SECURITIES LLC
March 13, 2009 - August 19, 2011
J.P. MORGAN SECURITIES LLC
February 24, 2005 - March 16, 2009
STANFORD GROUP COMPANY
February 24, 2005 - March 16, 2009
STANFORD GROUP COMPANY
August 19, 2003 - December 8, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 19, 2003 - December 8, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 13, 2002 - August 20, 2003
BANC OF AMERICA SECURITIES LLC
February 13, 2002 - August 20, 2003
BANC OF AMERICA SECURITIES LLC
November 30, 1994 - February 19, 2002
LEHMAN BROTHERS INC.
May 15, 1987 - December 15, 1994
CREDIT SUISSE SECURITIES (USA) LLC
August 27, 1979 - May 29, 1987
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 10/6/1981
Interest Rate Options ExaminationCurrent Firm
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLAVITA, MOLLIE | ELECTED MANAGER | 1875615 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 144 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 |
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.
