Roger L. Shaffer

STONEX FINANCIAL

Boca Raton, FL 33431

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CRD#: 1921270

Professional summary

Roger L Shaffer is a registered financial professional currently at STONEX FINANCIAL INC. located in Boca Raton, Florida.

Roger is registered as a RR (Registered Representative) and started their career in finance in 2000. Roger has worked at 9 firms and has passed the Series 63, Series 57TO, Series 99TO, Series 79TO, SIE, Series 87, Series 55, Series 3, Series 7, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Roger L Shaffer's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 13, 2013 - Present

STONEX FINANCIAL INC.

Office #1: 2600 North Military Trail Suite 100, Boca Raton, FL 33431

CRD#: 45993

Boca Raton, FL

Past

September 30, 2016 - August 31, 2018

INTL CUSTODY & CLEARING SOLUTIONS INC.

CRD#: 23952

Boca Raton FL 33431, FL

Past

September 29, 2016 - July 11, 2017

STERNE, AGEE & LEACH, INC.

CRD#: 791

BOCA RATON, FL

Past

March 19, 2010 - October 31, 2013

AVENTURA SECURITIES, LLC

CRD#: 142374

BOCA RATON, FL

Past

January 14, 2010 - November 6, 2013

LIVINGSTON MONROE CAPITAL GROUP INC.

CRD#: 31228

BOCA RATON, FL

Past

May 15, 2007 - November 22, 2013

FIRST AMERICAN CAPITAL AND TRADING CORPORATION

CRD#: 118812

BOCA RATON, FL

Past

June 19, 2003 - November 23, 2009

VARIANT TRADING INSTITUTIONAL GROUP, INC.

CRD#: 125547

BOCA RATON, FL

Past

October 26, 2001 - May 16, 2002

OMEGA RESEARCH CORPORATION

CRD#: 43068

PLANTATION, FL

Past

September 22, 2000 - May 16, 2002

TRADESTATION SECURITIES, INC.

CRD#: 39473

PLANTATION, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(1/3/2024)

Florida
(11/13/2013)

New York
(1/3/2024)

Exams

State Security Law Exam

Series 63

Date: 10/20/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 8/2/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 55

Date: 3/21/2002

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 3

Date: 4/10/2001

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 3/1/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 11/22/2006

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/18/2000

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

STONEX FINANCIAL INC.

CRD#: 45993 / SEC#: , 8-51269

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

329 Park Avenue North Suite 350, Winter Park, FL 32789

Mailing Address

329 Park Avenue North Suite 350, Winter Park, FL 32789

Phone number

(407) 741-5300

Established

Florida since 05/29/1998

Firm type

Corporation

Fiscal year end

September

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
STONEX GROUP INC.	OWNER
BOLTE, DAVID ALBERT	SECRETARY	2711410
DAVISON, STUART ANDREW	DIRECTOR; CHIEF OPERATING OFFICER	7824576
DICIOLLO, ANTHONY JOSEPH	PRESIDENT/DIRECTOR	4976402
DUNAWAY, WILLIAM JOHN	DIRECTOR, CHIEF FINANCIAL OFFICER	6505923
LYON, CHARLES MARTIN	DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER	4000852
MAURER, MARK L	DIRECTOR, CHIEF RISK OFFICER	4234406
PORZIO, JOSEPH JOHN	FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER	1319702
SMITH, PHILIP ANDREW	DIRECTOR	4999097
SZEKELY, GIGI KLARA	CHIEF COMPLIANCE OFFICER - BD DIVISION	2530826

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Roger L. Shaffer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Roger L Shaffer's CRS (Customer Relationship Summary).

Certified licenses

Experience

INTL CUSTODY & CLEARING SOLUTIONS INC.

STERNE, AGEE & LEACH, INC.

AVENTURA SECURITIES, LLC

LIVINGSTON MONROE CAPITAL GROUP INC.

FIRST AMERICAN CAPITAL AND TRADING CORPORATION

VARIANT TRADING INSTITUTIONAL GROUP, INC.

OMEGA RESEARCH CORPORATION

TRADESTATION SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/20/2000

Series 57TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 87

Date: 8/2/2005

Series 55

Date: 3/21/2002

Series 3

Date: 4/10/2001

Series 7

Date: 3/1/2000

Series 27

Date: 11/22/2006

Series 24

Date: 4/18/2000

FINRA

Nasdaq Stock Market

Current Firm

STONEX FINANCIAL INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

STONEX FINANCIAL INC.

TRUST BUT VERIFY

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