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Detailed Report
STEVEN PERRY SCHWEFEL
CRD#: 1091898
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Investment Adviser
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Previous Broker
GENEVA PARTNERS, LLCCRD#: 130768 772 WEST MAIN STREET
SUITE 301
LAKE GENEVA, WI 53147
Registration History
1985199019952000200520102015202020252 FIRMS1983 - 1985 (2 years)2 FIRMS2002 - 2003 (1 year)2 FIRMS2003 - 2004 (1 year)IAGENEVA PARTNERS, LLC (CRD# 130768)2012 - Present (12 years)BSTERNE AGEE FINANCIAL SERVICES... (CRD# 18456)2014 - 2016 (1 year)BWRP INVESTMENTS, INC. (CRD# 7365)2004 - 2014 (10 years)BDEUTSCHE BANC ALEX. BROWN INC. (CRD# 2525)2001 - 2002 (1 year)BDB ALEX. BROWN LLC (CRD# 17790)1998 - 2001 (2 years)BLEHMAN BROTHERS INC. (CRD# 7506)1990 - 1998 (7 years)BBEAR, STEARNS & CO. INC. (CRD# 79)1988 - 1990 (2 years)BL. F. ROTHSCHILD & CO. INCORPO... (CRD# 501)1987 - 1988 (<1 year)BSHEARSON LEHMAN BROTHERS INC. (CRD# 7506)1985 - 1987 (2 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)1985 - 1985 (<1 year)IAGENEVA PARTNERS, LLC (CRD# 130768)2010 - 2017 (7 years)IASTERNE AGEE INVESTMENT ADVISOR... (CRD# 174182)2015 - 2016 (1 year)IASTERNE AGEE INVESTMENT ADVISOR... (CRD# 7365)2004 - 2015 (10 years)
Disclosure(s)
View By:
7/29/1998
Employment Separation After Allegations
License(s)

State Registrations

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Illinois 4/18/2012
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Wisconsin 1/29/2018
Current Registration(s)
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GENEVA PARTNERS, LLC (CRD#:130768)
772 WEST MAIN STREET SUITE 301, LAKE GENEVA, WI 53147
Registered with this firm since 4/18/2012
Previous Registration(s)
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 04/08/2010 - 12/31/2017 GENEVA PARTNERS, LLC (CRD#:130768) LAKE GENEVA, WI
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 01/30/2015 - 04/18/2016 STERNE AGEE INVESTMENT ADVISOR SERVICES, INC. (CRD#:174182) BIRMINGHAM, AL
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 09/12/2014 - 04/18/2016 STERNE AGEE FINANCIAL SERVICES, INC. (CRD#:18456) LAKE GENEVA, WI
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 03/03/2004 - 01/30/2015 STERNE AGEE INVESTMENT ADVISOR SERVICES, INC. (CRD#:7365) LAKE GENEVA, WI
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 03/03/2004 - 09/12/2014 WRP INVESTMENTS, INC. (CRD#:7365) LAKE GENEVA, WI
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 01/08/2003 - 04/07/2004 CERTES CAPITAL WEALTH MANAGEMENT, LLC (CRD#:124341) DEERFIELD, IL
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 04/11/2003 - 04/01/2004 CERTES CAPITAL SECURITIES, LLC (CRD#:124392) DEERFIELD, IL
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 05/28/2002 - 12/09/2003 QA3 FINANCIAL LLC (CRD#:104957) DEERFIELD, IL
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 03/18/2002 - 12/02/2003 QA3 FINANCIAL CORP. (CRD#:14754) OMAHA, NE
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 01/13/2001 - 03/18/2002 DEUTSCHE BANC ALEX. BROWN INC. (CRD#:2525) NEW YORK, NY
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 09/16/1998 - 01/13/2001 DB ALEX. BROWN LLC (CRD#:17790) BALTIMORE, MD
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 10/01/1990 - 08/26/1998 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
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 03/14/1988 - 10/02/1990 BEAR, STEARNS & CO. INC. (CRD#:79) NEW YORK, NY
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 07/30/1987 - 04/14/1988 L. F. ROTHSCHILD & CO. INCORPORATED (CRD#:501)
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 07/29/1985 - 08/13/1987 SHEARSON LEHMAN BROTHERS INC. (CRD#:7506)
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 02/22/1985 - 07/16/1985 A. G. EDWARDS & SONS, INC. (CRD#:4)
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 03/01/1983 - 07/16/1985 USLIFE EQUITY SALES CORP. (CRD#:7962)
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 12/05/1983 - 02/28/1985 H. B. SHAINE & CO., INC. (CRD#:374)
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
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