Daniel J. Schaffer
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.
Daniel Jay Schaffer, who also goes by Rex Schaffer, was a registered financial advisor .
Daniel is a previously registered financial advisor and started their career in finance in 1988. Daniel had worked at 13 firms and has passed the Series 65, Series 63 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
February 8, 2010 - December 31, 2011
AARON CAPITAL INCORPORATED
January 25, 2010 - May 29, 2013
AARON CAPITAL INCORPORATED
January 23, 2007 - January 26, 2010
B. RILEY WEALTH ADVISORS, INC.
October 31, 2005 - January 25, 2010
NATIONAL SECURITIES CORPORATION
July 28, 2003 - October 28, 2005
JOSEPH GUNNAR & CO. LLC
August 10, 2001 - July 22, 2003
WELLS FARGO CLEARING SERVICES, LLC
April 8, 1997 - September 10, 2001
ADVEST, INC.
May 18, 1995 - August 23, 1996
PRUDENTIAL EQUITY GROUP, LLC
January 11, 1995 - June 7, 1995
GILBERT MARSHALL & COMPANY
November 4, 1991 - January 11, 1995
ROCKY MOUNTAIN SECURITIES & INVESTMENTS, INC.
January 31, 1990 - October 24, 1991
KOBER FINANCIAL CORP.
March 9, 1989 - February 3, 1990
MALONE & ASSOCIATES, INC.
September 21, 1988 - April 6, 1989
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
July 27, 1988 - September 22, 1988
J. W. GANT & ASSOCIATES, INC.
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
AARON CAPITAL INCORPORATED
CRD#: 28583 / SEC#: , 8-44000
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
