Daniel S. Shaffer

SHAFFER ASSET MANAGEMENT

Greenwich, CT

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CRD#: 1129546

Professional summary

Daniel S Shaffer, who also goes by Dan Shaffer, is a registered financial advisor currently at SHAFFER ASSET MANAGEMENT, INC. located in Greenwich, Connecticut.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Daniel has worked at 8 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dan Shaffer

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel S Shaffer's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 16, 2006 - Present

SHAFFER ASSET MANAGEMENT, INC.

RIA

CRD#: 113383

Greenwich, CT

Past

August 2, 2001 - July 30, 2013

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

RIA

CRD#: 13609

GREENWICH, CT

Past

May 1, 2000 - October 16, 2013

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CRD#: 13609

GREENWICH, CT

Past

July 13, 1998 - May 3, 2000

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

Past

June 22, 1989 - July 15, 1998

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

Past

April 17, 1989 - July 15, 1998

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

May 3, 1988 - May 22, 1989

HAMBRECHT & QUIST LLC

CRD#: 940

Past

October 28, 1987 - May 12, 1988

J.P. MORGAN SECURITIES LLC

CRD#: 79

Past

February 5, 1986 - October 23, 1987

MORGAN STANLEY DW INC.

CRD#: 7556

Past

May 25, 1983 - June 20, 1984

J.P. MORGAN SECURITIES LLC

CRD#: 79

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(2/16/2006)

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

State Security Law Exam

IAR

Series 65

Date: 2/27/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/12/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 1/13/1998

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/21/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/6/1999

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 3/5/1990

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

SHAFFER ASSET MANAGEMENT, INC.

CRD#: 113383 / SEC#:

Connecticut

Registered Investment Advisory firm - (2/16/2006 Approved)

Louisiana

Registered Investment Advisory firm - (12/31/2018 Terminated)

New York

Registered Investment Advisory firm - (11/7/2021 Terminated)

Texas

Registered Investment Advisory firm - (12/9/2009 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Greenwich, CT

Mailing Address

Phone number

(914) 263-6885

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	14
AUM (Assets Under Management)	$ 2,086,621

Red Flags

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Daniel S. Shaffer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel S Shaffer's CRS (Customer Relationship Summary).

Certified licenses

Experience

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

NATHAN & LEWIS SECURITIES, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

ROBERT W. BAIRD & CO. INCORPORATED

HAMBRECHT & QUIST LLC

J.P. MORGAN SECURITIES LLC

MORGAN STANLEY DW INC.

J.P. MORGAN SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/27/1998

Series 63

Date: 10/12/1983

Series 3

Date: 1/13/1998

Series 7

Date: 5/21/1983

Series 24

Date: 11/6/1999

Series 8

Date: 3/5/1990

Current Firm

SHAFFER ASSET MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SHAFFER ASSET MANAGEMENT, INC.

TRUST BUT VERIFY

Contact information

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