Adam C. Schaffer
Professional summary
Adam Craig Schaffer, who also goes by Adam C Schaffer, Adam Schaffer, is a registered financial professional currently at NUVEEN SECURITIES, LLC located in New York, New York.
Adam is registered as a RR (Registered Representative) and started their career in finance in 1993. Adam has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Adam Craig Schaffer's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 3, 2017 - Present
NUVEEN SECURITIES, LLC
Office #1: 730 Third Ave, New York, NY 10017March 17, 2023 - September 23, 2025
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
January 2, 2008 - December 31, 2016
TEACHERS PERSONAL INVESTORS SERVICES, INC.
August 12, 2004 - December 19, 2008
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
March 21, 2002 - July 22, 2004
TEACHERS PERSONAL INVESTORS SERVICES, INC.
July 29, 1999 - March 18, 2002
HARRISDIRECT LLC
January 22, 1997 - July 28, 1999
TEACHERS PERSONAL INVESTORS SERVICES, INC.
November 21, 1994 - July 26, 1995
CIBC WORLD MARKETS CORP.
February 5, 1993 - October 3, 1994
BNY MELLON SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/3/2017)
Exams
FINRA
Current Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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