Raymond W. Shaffer
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.
Raymond Warren Shaffer, who also goes by Raymond Warren Shaffer Jr, Raymond Warren Jr Shaffer, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1987. Raymond had worked at 15 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2022 - September 4, 2024
LARSON FINANCIAL GROUP, LLC
October 29, 2018 - May 25, 2022
LIBERTY ADVISOR MANAGED ASSETS, INC.
June 19, 2017 - November 6, 2018
CABOT LODGE SECURITIES LLC
February 10, 2009 - March 19, 2018
WILBANKS SECURITIES ADVISORY
February 10, 2009 - July 19, 2017
WILBANKS SECURITIES, INC.
October 1, 2007 - February 11, 2009
ARAPAHO ASSET MANAGEMENT LLC
August 31, 2007 - February 23, 2009
CENTAURUS FINANCIAL, INC.
December 3, 2004 - September 13, 2007
WILBANKS SECURITIES, INC.
October 6, 2004 - October 27, 2004
STUART SECURITIES CORP.
November 7, 2003 - September 13, 2004
WOODBURY FINANCIAL SERVICES, INC.
January 9, 2002 - November 10, 2003
NTB FINANCIAL CORPORATION
April 1, 1999 - December 31, 2000
NTB FINANCIAL CORPORATION
February 4, 1992 - December 31, 1998
LASALLE ST SECURITIES, L.L.C.
January 23, 1991 - January 13, 1992
HAMILTON INVESTMENTS, INC.
January 18, 1988 - January 10, 1991
MORGAN STANLEY DW INC.
May 27, 1987 - January 26, 1988
PHILIPS, APPEL & WALDEN, INC.
February 26, 1987 - June 2, 1987
BROOKS WEINGER ROBBINS & LEEDS INC.
Primary Firm SEC Registration
LARSON FINANCIAL GROUP, LLC
CRD#: 140599 / SEC#: 801-71543
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
LARSON FINANCIAL GROUP, LLC
CRD#: 140599 / SEC#: 801-71543
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 24,504 |
| AUM (Assets Under Management) | $ 4,032,736,835 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/08/2024 | ||
| 12/13/2023 | ||
| 01/03/2023 |
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.
