Matthew Shaffer
Professional summary
Matthew Shaffer, who also goes by Matthew R Shaffer, Matthew Ross Shaffer, is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in New York, New York.
Matthew is registered as a RR (Registered Representative) and started their career in finance in 1993. Matthew has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 7 and Series 56 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Matthew Shaffer's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 12, 2021 - Present
GUGGENHEIM SECURITIES, LLC
Office #1: 330 Madison Avenue, New York, NY 10017January 31, 2014 - January 11, 2021
SRT SECURITIES LLC
May 24, 2012 - December 3, 2013
NICO SECURITIES, LLC
March 18, 2011 - October 6, 2011
303 EQUITY TRADING GROUP II, LLC
October 16, 1993 - April 7, 1995
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/22/2021)
(6/9/2021)
(6/9/2021)
(2/24/2021)
(4/25/2022)
(11/22/2021)
(3/17/2021)
(6/4/2021)
(1/12/2021)
(2/24/2023)
(6/9/2021)
(8/9/2022)
(5/6/2021)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 56
Date: 8/15/2011
Proprietary Trader Qualification ExaminationFINRA
Investors' Exchange LLC
Nasdaq Stock Market
Current Firm
GUGGENHEIM SECURITIES, LLC
CRD#: 40638 / SEC#: , 8-49107
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINKS HOLDINGS, LLC | MEMBER | |
| GUGGENHEIM MANAGER, INC. | MANAGING MEMBER | |
| LOWERY WHILLE, TRACY | CHIEF COMPLIANCE OFFICER | 2872693 |
| MILLSTEIN, JAMES E. | CO-CHARIMAN | 4270577 |
| SCHWARTZ, ALAN DAVID | CO-CHAIRMAN | 416184 |
| SCHWARTZ, ANDREW JON | CHIEF FINANCIAL OFFICER | 5121914 |
| TSOU, SUSAN | FINOP & PRINCIPAL FINANCIAL OFFICER | 6187001 |
| VAN LITH, MARK ALAN | CHEIF EXECUTIVE OFFICER | 2263510 |
| WINICK, HOWARD NEIL | PRINCIPAL OPERATIONS OFFICER | 1871689 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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