John 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.
John Shaffer, who also goes by John Charles Shaffer, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1989. John had worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 22, 2016 - March 5, 2019
LIQUIDITYEDGE, LLC
May 7, 2007 - January 30, 2015
GOLDMAN SACHS & CO. LLC
August 18, 2004 - September 11, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 25, 1989 - September 11, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 8
Date: 12/11/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LIQUIDITYEDGE, LLC
CRD#: 174297 / SEC#: , 8-69570
Contact information
Documents
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.
