Charles M. Shaffer

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CRD#: 2424800

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.

Charles Milton Shaffer, who also goes by Charles M Shaffer, Charlie Milton Shaffer, Charlie Shaffer, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1994. Charles had worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Charles M Shaffer | Charlie Milton Shaffer | Charlie Shaffer

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 4, 2021 - August 8, 2023

RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC

CRD#: 329

New York, NY

Past

November 4, 2021 - August 8, 2023

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

CRD#: 21771

New York, NY

Past

March 27, 2017 - November 10, 2021

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886

NEW YORK, NY

Past

May 13, 2009 - April 3, 2017

CREDIT SUISSE SECURITIES (USA) LLC

RIA

CRD#: 816

NEW YORK, NY

Past

May 13, 2009 - April 3, 2017

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

May 19, 2005 - April 27, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

May 9, 2005 - April 27, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

October 4, 1999 - May 2, 2005

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

August 23, 1994 - June 16, 1999

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

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".

RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC

CRD#: 329 / SEC#: 801-60335, 8-220

RIA

Registered Investment Advisory firm - SEC (6/13/2001 Approved)

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

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 8/26/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 9/12/1994

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/22/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/10/2012

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 2/20/2004

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 5/14/2002

General Securities Sales Supervisor - Options Module Examination

Current Firm

RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC

CRD#: 329 / SEC#: 801-60335, 8-220

RIA

Registered Investment Advisory firm - SEC (6/13/2001 Approved)

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

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Contact information

Main Address

401 Union St 18th Floor 18th Floor, Seattle, WA, 98101

Mailing Address

401 Union St 18th Floor, Seattle, WA, 98101

Phone number

(206) 505-7877

Established

Washington since 06/02/2016

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

589

SEC notice filing (2 States and Territories)

FINRA licenses (9 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC (9/5/2025)

Direct owners and executive officers

Name	Position	CRD#
RUSSELL INVESTMENTS US INSTITUTIONAL HOLDCO, INC.	OWNER
ALVAREZ, CARLOS CID	US BROKER-DEALER CHIEF COMPLIANCE OFFICER	5689384
CURRAN, AMY ELIZABETH	US ADVISER CHIEF COMPLIANCE OFFICER	4876594
EL-HILLOW, KATHERINE ANNE	DIRECTOR; PRESIDENT; CHIEF INVESTMENT OFFICER	4889284
LENZO, JASON ABRAM	DIRECTOR	2972909
OSTROVSKY, AARON ALEXANDER	DIRECTOR	7851945
PALTROWITZ, MARK DAVID	CHIEF RISK OFFICER	2787627
SIEGEL, DAVID ANDREW	FINANCIAL AND OPERATIONS PRINCIPAL	7440274
SURLOFF, HOWARD BRIAN	CHIEF LEGAL OFFICER	7525747

Regulatory assets under management

Total Number of Accounts	152
AUM (Assets Under Management)	$ 79,682,796,997

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

Charles M. Shaffer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

VOYA INVESTMENTS DISTRIBUTOR, LLC

CREDIT SUISSE SECURITIES (USA) LLC

CREDIT SUISSE SECURITIES (USA) LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

DEUTSCHE BANK SECURITIES INC.

MORGAN STANLEY & CO. LLC

Primary Firm SEC Registration

RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/26/1994

SIE

Date: 10/1/2018

Series 3

Date: 9/12/1994

Series 7

Date: 8/22/1994

Series 24

Date: 8/10/2012

Series 10

Date: 2/20/2004

Series 9

Date: 5/14/2002

Current Firm

RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC

Contact information

SEC notice filing (2 States and Territories)

FINRA licenses (9 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC

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