JS
Jay G. Shaffer
CETERA INVESTMENT ADVISERS LLC
BUTLER, PA 16001
Some features on this profile are disabled
CRD#: 2349055
JS
Professional summary
Jay Gorgone Shaffer is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Butler, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Butler, Pennsylvania.
Jay is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Jay has worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) NAME OF ENTITY:J ay G. Shaffer Financial; Yes; 422 N MAIN ST STE D; BUTLER; PA; 16001; DBA; owner; 1/1/1997; 240; 240; DBA for insurance and investments| 2) NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 422 N MAIN ST STE D; BUTLER; PA; 16001; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 6/20/2007; 80; 80; SALES OF FIXED INSURANCE PRODUCTS| 3) NAME OF ENTITY:DSF Wealth Management Group, LLC.; Yes; 422 N MAIN ST STE D; BUTLER; PA; 16001; DBA for Financial Services/Insurance Sales; Associate; 5/1/2012; 12; 12; Sends insurance business through DSF's agency for processing and listed as an associated on DSF's website.| 4) NAME OF ENTITY: Butler County Community College Foundation Board; No; P.O. Box 1203; Butler; PA; 16003; Board Member of the main fund raising arm of the college, although I will not be directly involved in raising funds.; Board Member; 1/1/2018; 1; 0; Attend Quarterly Board Meetings and participate on one of the committees.| 5) NAME OF OTHER BUSINESS: BUTLER COUNTY CHAMBER OF COMMERCE; INVESTMENT RELATED: NO; ADDRESS: 106 S. MAIN ST BUTLER, PA 16001; NATURE OF BUSINESS: NON PROFIT; START DATE: 10/2024; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 0.5; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ON COMPENSATION AND BENEFITS COMMITTEE, HELP MAKE COMPENSATIN AND GROUP BENEFIT RECOMMENDATION, REVIEW NEW MEMBERS FOR BOARD;
CRS (Client Relationship Summary) - RIA
Click below to view Jay Gorgone Shaffer's 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®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 422 N Main St Ste D, Butler, PA 16001RIA
CRD#: 105644
BUTLER, PA
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 422 N Main St Ste D, Butler, PA 16001BD
CRD#: 13572
Butler, PA
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
October 31, 2005 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
BUTLER, PA
Past
September 1, 2005 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
BUTLER, PA
Past
March 24, 2004 - July 8, 2005
EQUITY SERVICES, INC.
RIA
CRD#: 265
BUTLER, PA
Past
July 20, 1994 - July 8, 2005
EQUITY SERVICES, INC.
BD
CRD#: 265
MONTPELIER, VT
Past
May 11, 1993 - July 15, 1994
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
California(6/9/2021)
RR
Florida(6/11/2021)
RR
Maryland(10/29/2025)
RR
North Carolina(6/9/2021)
RR
Ohio(10/1/2025)
RR
Pennsylvania(6/9/2021)
IAR
Pennsylvania(6/29/2023)
RR
South Dakota(6/9/2021)
RR
Virginia(6/9/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Butler, PA 16001TRUST BUT VERIFY
Monitor Jay Shaffer
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
