Steven D. Shaffer
Professional summary
Steven David Shaffer is a registered financial professional currently at FIRST LIBERTIES FINANCIAL located in Tampa, Florida.
Steven is registered as a RR (Registered Representative) and started their career in finance in 1982. Steven has worked at 15 firms and has passed the Series 63, Series 82TO, SIE, Series 3, Series 7, Series 14, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven David Shaffer's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 16, 2024 - Present
FIRST LIBERTIES FINANCIAL
Office #1: 2915 N. Boulevard Suite A, Tampa, FL 33602December 23, 2016 - May 13, 2024
HCFP/CAPITAL MARKETS LLC
June 29, 2012 - January 4, 2017
FIRST LIBERTIES FINANCIAL
October 28, 2010 - August 25, 2011
MERRIMAN CAPITAL, INC.
October 6, 2009 - July 27, 2010
AVANZA CAPITAL MARKETS INC.
January 27, 2000 - April 21, 2009
HCFP BRENNER SECURITIES, LLC
October 8, 1998 - February 18, 2000
CORINTHIAN PARTNERS, L.L.C.
March 11, 1998 - October 19, 1998
GRUNTAL & CO., L.L.C.
June 10, 1991 - March 15, 1998
HAMPSHIRE SECURITIES CORPORATION
February 2, 1988 - May 6, 1991
J.P. MORGAN SECURITIES LLC
January 16, 1986 - February 18, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
November 5, 1984 - July 12, 1985
CIBC WORLD MARKETS CORP.
May 25, 1984 - November 20, 1984
LADENBURG CAPITAL MANAGEMENT INC.
May 10, 1984 - July 10, 1984
ADLER, COLEMAN & CO.
September 10, 1982 - September 23, 1983
BAIRD, PATRICK & CO., INC.
February 10, 1982 - February 9, 1983
MOORE & SCHLEY, CAMERON & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/16/2024)
(5/16/2024)
(5/16/2024)
(5/16/2024)
(5/16/2024)
Exams
Series 82TO
Date: 5/16/2024
Limited Representative-Private Securities OfferingsFINRA
Current Firm
FIRST LIBERTIES FINANCIAL
CRD#: 14432 / SEC#: , 8-30673
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PELION FINANCIAL GROUP, INC. | OWNER | |
| BERGMAN, HILARY GUY | DIRECTOR, PRESIDENT, FINOP, AMLCO, & CHIEF COMPLIANCE OFFICER | 1834738 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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