Richard A. Shafer
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Alban Frederick Shafer, who also goes by Dick Shafer, Richard Alban Shafer, Richard Alvan Frederick Shafer, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1981. Richard had worked at 5 firms and has passed the Series 65, Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2023 - June 11, 2024
PLANPILOT
January 26, 2006 - July 27, 2009
CUNA BROKERAGE SERVICES, INC.
November 16, 2005 - July 27, 2009
CUNA BROKERAGE SERVICES, INC.
November 29, 1994 - December 31, 1995
TEACHERS PERSONAL INVESTORS SERVICES, INC.
January 22, 1988 - March 8, 2005
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
November 26, 1981 - December 17, 1981
VP DISTRIBUTORS LLC
Primary Firm SEC Registration
PLANPILOT
CRD#: 160319 / SEC#: 801-73176
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PLANPILOT
CRD#: 160319 / SEC#: 801-73176
Contact information
SEC notice filing (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 29 |
| AUM (Assets Under Management) | $ 5,578,337,916 |
Red Flags
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