Marvin A. 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.
Marvin Alan Schaffer, who also goes by Marvin Alan Shaffer, was a registered financial professional .
Marvin is a previously registered financial professional and started their career in finance in 1983. Marvin had worked at 2 firms and has passed the Series 63, Series 7, Series 22 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 1986 - May 21, 1996
M.S. EQUITIES, INC.
November 25, 1983 - July 7, 1987
ROTHSCHILD REGISTRY INTERNATIONAL, 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
M.S. EQUITIES, INC.
CRD#: 16772 / SEC#: , 8-34493
Contact information
Documents
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.
