Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kevin? Claim Your ProfileKevin Schaefer is a financial advisor with over 30 years of experience in the industry. Kevin has a strong background in providing investment advisory and financial planning services to individuals, businesses, and institutions. Kevin is currently registered with Wells Fargo Clearing Services, LLC, and has previously worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., UBS Financial Services Inc., Smith Barney Shearson Inc., Lehman Brothers Inc., E. F. Hutton & Company Inc., and Derand Investment Corporation of America. Kevin holds Series 7, Series 63, and Series 65 licenses. Kevin is committed to providing clients with personalized and comprehensive financial advice.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
08/16/2019 - Present
Wells Fargo Clearing Services, LLC (SAN FRANCISCO CA)
CA
05/20/2011 - 08/19/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN FRANCISCO CA)
CA
06/01/2009 - 05/27/2011
MORGAN STANLEY SMITH BARNEY (SAN FRANCISCO CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (SAN FRANCISCO CA)
CA
01/26/2007 - 04/02/2007
MORGAN STANLEY DW INC. (SAN FRANCISCO CA)
CA
10/26/1993 - 02/05/2007
UBS FINANCIAL SERVICES INC. (SAN FRANCISCO CA)
NY
07/31/1993 - 10/22/1993
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
NY
04/11/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
04/08/1986 - 04/11/1988
E. F. HUTTON & COMPANY INC
NA
07/26/1984 - 03/05/1986
DERAND INVESTMENT CORPORATION OF AMERICA
IA
Issued 08/19/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/24/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/21/1984
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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