Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
ROGER HERMAN SCHEFFEL JR.
ROGER HERMAN SCHEFFELL JR.
CRD#: 4298675
IA
Investment Adviser
CLEARSTEAD; HARTLAND & CO., LLC; CLEARSTEAD ADVISORY SOLUTIONSCRD#: 105674 150 West Main Street Suite 1700
Norfolk, VA 23510
Registration History
2002200420062008201020122014201620182020202220242026IACLEARSTEAD; HARTLAND & CO., LL... (CRD# 105674)2024 - Present (<1 year)IAWILBANKS, SMITH & THOMAS ASSET... (CRD# 106060)2009 - 2024 (14 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2002 - 2009 (7 years)
License(s)

State Registrations

IA
North Carolina 4/25/2024
IA
Virginia 4/25/2024
IA
Texas 4/25/2024
Current Registration(s)
IA
CLEARSTEAD; HARTLAND & CO., LLC; CLEARSTEAD ADVISORY SOLUTIONS (CRD#:105674)
150 West Main Street Suite 1700, Norfolk, VA 23510
Registered with this firm since 4/25/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/09/2009 - 04/25/2024 WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC (CRD#:106060) NORFOLK, VA
IA
 05/15/2002 - 09/23/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) NORFOLK, VA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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.