Mark J. Shafer

GOODRICH ASSET MANAGEMENT LLC

NEW ALBANY, OH

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CRD#: 1305651

Professional summary

Mark Jeffrey Shafer is a registered financial advisor currently at GOODRICH ASSET MANAGEMENT LLC located in New Albany, Ohio.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Mark has worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

MR. SHAFER IS LICENSED TO SELL INSURANCE PRODUCTS WHICH MAY TAKE UP TO 1% OF HIS TIME.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Jeffrey Shafer'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

November 23, 2009 - Present

GOODRICH ASSET MANAGEMENT LLC

RIA

CRD#: 151582

NEW ALBANY, OH

Past

August 14, 2000 - May 13, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

NEW ALBANY, OH

Past

August 10, 2000 - May 13, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

NEW ALBANY, OH

Past

November 3, 1997 - August 14, 2000

J.C. BRADFORD & CO.

CRD#: 1287

NEW YORK, NY

Past

April 29, 1988 - October 28, 1997

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

February 15, 1988 - May 13, 1988

LEHMAN BROTHERS INC.

CRD#: 7506

Past

December 12, 1984 - February 15, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

October 29, 1984 - January 2, 1985

CORNA AND CO., INC.

CRD#: 8124

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

Ohio
(11/23/2009)

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: 4/29/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/8/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/15/1984

General Securities Representative Examination

Current Firm

GOODRICH ASSET MANAGEMENT LLC

CRD#: 151582 / SEC#: 801-70614

RIA

Registered Investment Advisory firm - (2/26/2010 Terminated)

Ohio

Registered Investment Advisory firm - (2/23/2010 Approved)

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

Newark, OH

Mailing Address

Phone number

(614) 402-5763

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	12
AUM (Assets Under Management)	$ 2,684,450

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.

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Firm Stability Insights

Mark J. Shafer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Jeffrey Shafer's CRS (Customer Relationship Summary).

Certified licenses

Experience

GOODRICH ASSET MANAGEMENT LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

J.C. BRADFORD & CO.

UBS FINANCIAL SERVICES INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

CORNA AND CO., INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/29/1999

Series 63

Date: 2/8/1985

Series 7

Date: 9/15/1984

Current Firm

GOODRICH ASSET MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GOODRICH ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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