Richard Alban Frederick Shafer
Professional Summary
Richard Alban Frederick Shafer, who also goes by Dick Shafer, Richard Alban Shafer, Richard Alvan Frederick Shafer, was a registered financial advisor. Richard was a previously registered financial professional and started their career in finance 1981 - 2024. Richard had worked at 5 firms and has passed the Series 65, Series 63, Series 6 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Dick Shafer, Richard Alban Shafer, Richard Alvan Frederick Shafer
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
41 years in the financial services industry
Current & Past Employments
Past
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Current Firm
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Contact Information
Main Address
223 West Jackson Suite 800, Chicago, IL 60606Phone Number
(312) 973-4911# of Employees
15SEC notice filing (19 States and Territories)
Registered to provide investment advisory services in 19 US states and territories.
Regulatory Assets Under Management
Total Number of Accounts
29AUM (Assets Under Management)
$5,578,337,916Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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Primary Firm SEC Registration
PLANPILOT | PLANPILOT, LLC
State Registrations and Notice Filings
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 1985About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed May 1994About the Series 26 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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