Herbert D. Shaver
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.
Herbert Duane Shaver, who also goes by Herbert D Shaver, was a registered financial professional .
Herbert is a previously registered financial professional and started their career in finance in 1983. Herbert had worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2005 - March 28, 2007
FIDELITY PERSONAL TRUST COMPANY, FSB
April 19, 2001 - February 11, 2016
STRATEGIC ADVISERS LLC
March 3, 1993 - February 10, 2016
FIDELITY BROKERAGE SERVICES LLC
January 18, 1986 - February 2, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
September 21, 1983 - November 26, 1991
AVANTAX INVESTMENT SERVICES, INC.
June 19, 1983 - February 2, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
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
No current employment
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.
