Robert S. Shafir
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.
Robert Scott Shafir was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1984. Robert had worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2007 - July 25, 2016
CREDIT SUISSE SECURITIES (USA) LLC
February 8, 1990 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
February 8, 1990 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
February 8, 1990 - August 22, 2007
LEHMAN BROTHERS INC.
September 14, 1987 - January 23, 1990
MORGAN STANLEY MARKET PRODUCTS INC.
October 26, 1984 - January 23, 1990
MORGAN STANLEY & CO. LLC
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
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 322 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
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.
