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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
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.