Maryann H. Schaffer
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.
Maryann Helen Schaffer, who also goes by Mary Ann Schaffer, Mary Ann Helen Schaffer, was a registered financial professional .
Maryann is a previously registered financial professional and started their career in finance in 1985. Maryann had worked at 9 firms and has passed the Series 63, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2004 - January 7, 2008
AMERIPRISE ADVISOR SERVICES, INC.
April 1, 1998 - July 14, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 21, 1997 - April 1, 1998
BARNETT INVESTMENTS, INC.
January 7, 1997 - April 18, 1997
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 1, 1996 - December 31, 1996
SUNAMERICA SECURITIES, INC.
June 15, 1995 - December 7, 1995
FIRST ALLIED SECURITIES, INC.
June 1, 1994 - June 22, 1995
DONALD & CO. SECURITIES INC.
May 21, 1990 - May 19, 1994
AMERIPRISE ADVISOR SERVICES, INC.
September 20, 1989 - May 1, 1990
C.U. BROKERAGE SERVICES, INC.
January 1, 1988 - October 24, 1988
SUN SECURITIES, INC.
January 23, 1985 - September 11, 1989
AMERIPRISE ADVISOR SERVICES, INC.
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
AMERIPRISE ADVISOR SERVICES, INC.
CRD#: 5979 / SEC#: , 8-16752
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING CORPORATION | SHAREHOLDER | |
| ANDREW, DAVID CRESWELL | CHIEF LEGAL OFFICER, SENIOR VICE PRESIDENT | 2984773 |
| CLIFFORD, TIMOTHY JOHN | VP, ENTERPRISE SCALE & TAX PARTNERING | 1061464 |
| CRACCHIOLO, JAMES MICHAEL | DIRECTOR | 4251944 |
| DOYLE, DAVID TIMOTHY | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2552281 |
| FILDES, LISA SUE | SECRETARY | 1596975 |
| FROUDE, DONALD E | PRESIDENT, CEO, DIRECTOR | 1002120 |
| GESCHKE, DAVID EDWARD | SVP, CHIEF OPERATING OFFICER, DIVISIONAL DIRECTOR, DIRECTOR | 1618774 |
| MCASKIN, DAN MICHAEL | VICE PRESIDENT, DIRECTOR OF OPERATIONS, DIRECTOR | 1099566 |
| O'CONNELL, PATRICK HUGH | SVP, DIVISIONAL DIRECTOR | 2246285 |
| SCHERMAN, JEFFREY JOSEPH | CFO | 4338820 |
| SMITH, ERNEST ROBERT | VICE PRESIDENT | 2362379 |
| SWEENEY, JOSEPH EDWARD | DIRECTOR | 4668713 |
| TOWNSEND, MICHAEL WILLIAM | VP, DIVISIONAL DIRECTOR | 2244230 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 165 |
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.
