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STEVEN MICHAEL HAEFELE
Steve Haefele
CRD#: 4037093
IA
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CHARLES SCHWAB & CO., INC.CRD#: 5393 9800 Schwab Way
Lone Tree, CO 80124
Lone Tree, CO 80124
0
Disclosures
23
Years of Experience
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State Registrations
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Alabama 1/3/2023
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Montana 1/3/2023
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Alaska 1/3/2023
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Nebraska 1/3/2023
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Arizona 1/3/2023
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Nevada 1/3/2023
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Arkansas 1/3/2023
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New Hampshire 1/3/2023
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California 7/31/2017
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New Jersey 1/3/2023
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Colorado 7/31/2017
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New Mexico 1/3/2023
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Colorado 7/31/2017
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New York 1/3/2023
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Connecticut 1/3/2023
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North Carolina 1/3/2023
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Delaware 1/3/2023
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North Dakota 1/3/2023
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District of Columbia 1/3/2023
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Ohio 1/4/2023
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Florida 1/3/2023
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Oklahoma 1/3/2023
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Georgia 1/3/2023
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Oregon 1/3/2023
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Hawaii 1/3/2023
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Pennsylvania 1/3/2023
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Idaho 1/3/2023
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Puerto Rico 1/3/2023
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Illinois 1/3/2023
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Rhode Island 1/3/2023
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Indiana 1/3/2023
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South Carolina 1/3/2023
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Iowa 1/3/2023
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South Dakota 1/3/2023
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Kansas 1/3/2023
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Tennessee 1/3/2023
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Kentucky 1/3/2023
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Texas 1/3/2023
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Louisiana 1/3/2023
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Utah 1/3/2023
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Maine 1/3/2023
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Vermont 1/3/2023
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Maryland 1/3/2023
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Virgin Islands 1/3/2023
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Massachusetts 1/3/2023
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Virginia 1/3/2023
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Michigan 1/3/2023
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Washington 1/3/2023
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Minnesota 1/3/2023
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West Virginia 1/3/2023
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Mississippi 1/3/2023
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Wisconsin 1/3/2023
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Missouri 1/3/2023
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Wyoming 1/3/2023
SRO Registrations
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Registered with this firm since 7/31/2017
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Registered with this firm since 7/31/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/18/2006 - 06/27/2017 | DENVER, CO | |
B | 07/10/2004 - 06/27/2017 | DENVER, CO | |
B | 09/11/2002 - 06/02/2003 | NEW YORK, NY | |
B | 01/04/2000 - 06/04/2002 | NEW YORK, NY |
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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.
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