Stefan L. Shaffer
Professional summary
Stefan L Shaffer, who also goes by Stefan Shaffer, is a registered financial professional currently at SPP CAPITAL PARTNERS L L C located in New York, New York.
Stefan is registered as a RR (Registered Representative) and started their career in finance in 1987. Stefan has worked at 3 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stefan L Shaffer's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 3, 1996 - Present
SPP CAPITAL PARTNERS L L C
Office #1: 550 Fifth Avenue 12th. Floor, New York, NY 10036November 14, 1989 - August 25, 1997
SPP HAMBRO & CO., INCORPORATED
May 1, 1987 - May 30, 1989
DB ALEX. BROWN 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
(2/4/2005)
(2/4/2005)
(2/4/2005)
(2/14/2005)
(12/21/1998)
(12/22/1998)
(2/4/2005)
(6/24/2015)
(12/22/1998)
(2/4/2005)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
SPP CAPITAL PARTNERS L L C
CRD#: 38103 / SEC#: , 8-48093
Contact information
FINRA licenses (11 States and Territories)
Documents
Red Flags
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