Sheila S. Shaffer
ROCKEFELLER FINANCIAL LLC | Financial Advisor
Fernandina Beach, FL
Some features on this profile are disabled
CRD#: 1230244
Professional summary
Sheila Spainhour Shaffer, CFP®, who also goes by Sheila S Shaffer, Sheila A Spainhour, Sheila Annette Spainhour, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Fernandina Beach, Florida.
Sheila is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Sheila has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
What are your service offerings?
Financial planning
Trust & estate planning
Philanthropic services
Insurance
Executive services/Equity comp...
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
500K
Are you a "fiduciary"?
Yes
Aliases
Sheila S Shaffer | Sheila A Spainhour | Sheila Annette Spainhour
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.
1. NATIONAL MUSEUM OF WOMEN IN THE ARTS; 1250 NEW YORK AVE NW, WASHINGTON DC 20005. POSITION: TREASURER BOARD OF TRUSTEES AND CHAIR OF THE BUILDING OVERSITE COMMITTEE. DEVOTES 10 HOURS MONTHLY; NOT COMPENSATED., NOT INVESTMENT RELATED, RECUSES HERSELF FROM ENDOWMENT INVESTMENTS.
CRS (Client Relationship Summary) - RIA
Click below to view Sheila Spainhour Shaffer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sheila Spainhour 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®
CFP®
Start date: 2010
Experience
Current
November 13, 2023 - Present
ROCKEFELLER FINANCIAL LLC
RIA
BD
CRD#: 291361
Fernandina Beach, FL
Current
October 6, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305RIA
BD
CRD#: 291361
Atlanta, GA
Past
October 6, 2023 - November 3, 2023
ROCKEFELLER FINANCIAL LLC
RIA
CRD#: 291361
JACKSONVILLE BEACH, FL
Past
August 19, 2009 - October 9, 2023
JANNEY MONTGOMERY SCOTT LLC
RIA
CRD#: 463
WASHINGTON, DC
Past
August 19, 2009 - October 9, 2023
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
WASHINGTON, DC
Past
June 1, 2009 - September 16, 2009
MORGAN STANLEY
RIA
CRD#: 149777
WASHINGTON, DC
Past
June 1, 2009 - September 16, 2009
MORGAN STANLEY
BD
CRD#: 149777
WASHINGTON, DC
Past
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
WASHINGTON, DC
Past
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
WASHINGTON, DC
Past
November 20, 1995 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
RIA
CRD#: 6555
WASHINGTON, DC
Past
November 3, 1987 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
October 30, 1987 - November 4, 1987
LEGG MASON MASTEN INC.
BD
CRD#: 2
Past
July 22, 1987 - October 31, 1987
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
Past
January 26, 1984 - April 10, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RF
ROCKEFELLER FINANCIAL LLC
ROCKEFELLER CAPITAL MANAGEMENT | ROCKEFELLER GLOBAL FAMILY OFFICE | ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
RIA
Registered Investment Advisory firm - SEC (9/21/2018 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(10/6/2023)
RR
California(10/6/2023)
RR
Colorado(10/6/2023)
RR
Connecticut(10/6/2023)
RR
Delaware(11/16/2023)
RR
District of Columbia(10/6/2023)
RR
Florida(10/6/2023)
IAR
Florida(7/18/2024)
RR
Georgia(11/21/2023)
RR
Hawaii(10/6/2023)
RR
Illinois(11/21/2023)
RR
Indiana(10/6/2023)
RR
Kansas(10/6/2023)
RR
Kentucky(10/6/2023)
RR
Louisiana(11/7/2023)
RR
Maine(10/6/2023)
RR
Maryland(10/6/2023)
RR
Massachusetts(10/6/2023)
RR
Michigan(10/6/2023)
RR
Mississippi(10/6/2023)
RR
Missouri(10/6/2023)
RR
Montana(11/21/2023)
RR
Nevada(10/6/2023)
RR
New Hampshire(10/6/2023)
RR
New Jersey(10/6/2023)
RR
New Mexico(10/6/2023)
RR
New York(10/6/2023)
RR
North Carolina(10/16/2023)
RR
Ohio(10/6/2023)
RR
Oklahoma(10/11/2023)
RR
Oregon(10/6/2023)
RR
Pennsylvania(10/6/2023)
RR
Rhode Island(10/6/2023)
RR
South Carolina(10/6/2023)
RR
Tennessee(10/6/2023)
RR
Texas(10/6/2023)
RR
Utah(10/6/2023)
RR
Vermont(10/6/2023)
RR
Virginia(11/9/2023)
IAR
Virginia(11/13/2023)
RR
Washington(10/6/2023)
RR
West Virginia(10/6/2023)
IAR
West Virginia(11/13/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 11/15/1988
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
RF
ROCKEFELLER FINANCIAL LLC
ROCKEFELLER CAPITAL MANAGEMENT | ROCKEFELLER GLOBAL FAMILY OFFICE | ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
RIA
Registered Investment Advisory firm - SEC (9/21/2018 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
45 Rockefeller Plaza Floor 5, New York, NY 10111
Mailing Address
45 Rockefeller Plaza Floor 5, New York, NY 10111
Phone number
(212) 549-5100
Established
Delaware since 10/20/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
824
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 76,628 |
| AUM (Assets Under Management) | $ 70,030,224,514 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 08/26/2024 | ||
| 09/27/2023 |
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.
Company Information
ROCKEFELLER FINANCIAL LLC
Financial AdvisorCRD#: 291361Fernandina Beach, FLTRUST BUT VERIFY
Monitor Sheila Shaffer
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
