JS
Jack D. Shaffer
NYLIFE SECURITIES LLC
New York, NY 10010
Some features on this profile are disabled
CRD#: 1622256
JS
Professional summary
Jack David Shaffer, who also goes by Jack D Shaffer, Jack David Shaffer, Jack Shaffer, is a registered financial professional currently at NYLIFE SECURITIES LLC located in New York, New York.
Jack is registered as a RR (Registered Representative) and started their career in finance in 1996. Jack has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jack D Shaffer | Jack David Shaffer | Jack Shaffer
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Jack David 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®
NoneExperience
Current
December 6, 2021 - Present
NYLIFE SECURITIES LLC
Office #1: 51 Madison Avenue, New York, NY 10010BD
CRD#: 5167
New York, NY
Past
February 26, 2021 - June 30, 2021
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
HAUPPAUGE, NY
Past
February 25, 2021 - June 30, 2021
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
HAUPPAUGE, NY
Past
June 30, 2017 - December 8, 2020
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
WOODBURY, NY
Past
May 10, 2017 - December 8, 2020
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
WOODBURY, NY
Past
December 19, 2014 - March 2, 2017
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
MELVILLE, NY
Past
July 8, 2014 - December 3, 2014
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
WANTAGH, NY
Past
March 1, 2013 - July 7, 2014
NYLIFE SECURITIES LLC
BD
CRD#: 5167
LAKE SUCCESS, NY
Past
October 1, 2000 - February 12, 2002
UBS SERVICES USA LLC
BD
CRD#: 46330
WEEHAWKEN, NJ
Past
January 5, 1998 - June 8, 2000
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
January 26, 1996 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
January 26, 1996 - December 16, 1997
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(5/19/2022)
RR
Alaska(5/19/2022)
RR
Arizona(6/3/2022)
RR
Arkansas(5/23/2022)
RR
California(5/19/2022)
RR
Colorado(5/23/2022)
RR
Connecticut(5/19/2022)
RR
Delaware(6/2/2022)
RR
District of Columbia(5/26/2022)
RR
Florida(5/19/2022)
RR
Georgia(5/19/2022)
RR
Hawaii(5/19/2022)
RR
Idaho(5/19/2022)
RR
Illinois(5/20/2022)
RR
Indiana(5/20/2022)
RR
Iowa(5/23/2022)
RR
Kansas(5/19/2022)
RR
Kentucky(5/23/2022)
RR
Louisiana(5/23/2022)
RR
Maine(5/19/2022)
RR
Maryland(5/19/2022)
RR
Massachusetts(7/8/2022)
RR
Michigan(5/20/2022)
RR
Minnesota(5/19/2022)
RR
Mississippi(5/19/2022)
RR
Missouri(5/19/2022)
RR
Montana(5/19/2022)
RR
Nebraska(5/19/2022)
RR
Nevada(5/26/2022)
RR
New Hampshire(5/23/2022)
RR
New Jersey(5/19/2022)
RR
New Mexico(5/19/2022)
RR
New York(12/7/2021)
RR
North Carolina(5/19/2022)
RR
North Dakota(5/23/2022)
RR
Ohio(5/19/2022)
RR
Oklahoma(5/19/2022)
RR
Oregon(7/31/2022)
RR
Pennsylvania(5/19/2022)
RR
Rhode Island(5/31/2022)
RR
South Carolina(5/19/2022)
RR
South Dakota(6/8/2022)
RR
Tennessee(6/3/2022)
RR
Texas(5/19/2022)
RR
Utah(5/19/2022)
RR
Vermont(5/19/2022)
RR
Virginia(5/19/2022)
RR
Washington(6/2/2022)
RR
West Virginia(5/19/2022)
RR
Wisconsin(5/19/2022)
RR
Wyoming(5/23/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NS
NYLIFE SECURITIES LLC
NEW YORK LIFE SECURITIES CORP. | NYLIFE SECURITIES LLC | NYLIFE SECURITIES INC. | NEW YORK LIFE VARIABLE CONTRACTS CORPORATION
CRD#: 5167 / SEC#: , 8-15517
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
51 Madison Ave. Room 713, New York, NY 10010
Mailing Address
51 Madison Avenue Room 713, New York, NY 10010
Phone number
(212) 576-7000
Established
Delaware since 01/01/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
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.
