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717 N. Harwood Street Suite 3400, Dallas, TX 75201 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ME | RA | APPROVED | 2017-01-23 |
| IA | RA | APPROVED | 2017-01-20 |
Branch Locations
717 N. Harwood Street Suite 3400, Dallas, TX 75201 • UNITED STATES
Gorham, ME • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Sioux City | IA | 03/2000 | 01/2017 |
| Morgan Stanley Smith Barney | Sioux City | IA | 06/2009 | 01/2017 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 01/2017 |
| Hilltop Securities Independent Network Inc. | Dallas | TX | 01/2017 | Present |
1] SCHAEFFER WEALTH MANAGEMENT, INC., INVESTMENT-RELATED, 4 HESSIAN DR, GORHAM ME 04038, S-CORPORATION, OWNER, START DATE 02/01/2017, 0 HRS/MO NON-BUSINESS, 70 HRS/MO TRADING HOURS, S-CORPORATION SUBCHAPTER FOR INCOME TAXES
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-06-14 |
| S63 | Uniform Securities Agent State Law Examination | 2000-06-05 |
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