David A. 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.
David Alan Shaffer, CFP®, who also goes by Dave Shaffer, David Alan Shaffer, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1994. David had worked at 9 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2016 - October 14, 2016
M HOLDINGS SECURITIES, INC.
June 30, 2006 - September 28, 2016
M HOLDINGS SECURITIES, INC.
July 15, 2005 - July 6, 2006
CINCINNATI ANALYSTS, INC.
March 8, 2004 - June 9, 2004
CETERA WEALTH SERVICES, LLC
December 8, 1999 - September 19, 2003
EQUITABLE ADVISORS, LLC
January 12, 1999 - September 21, 1999
UNDERWRITERS EQUITY CORPORATION
January 2, 1998 - September 23, 1998
CADARET, GRANT & CO., INC.
April 4, 1997 - January 2, 1998
PINEBRIDGE SECURITIES LLC
February 28, 1996 - April 9, 1997
THE O.N. EQUITY SALES COMPANY
August 15, 1994 - February 2, 1996
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 15, 1994 - February 2, 1996
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
M HOLDINGS SECURITIES, INC.
CRD#: 43285 / SEC#: 801-57304, 8-50214
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
Current Firm
M HOLDINGS SECURITIES, INC.
CRD#: 43285 / SEC#: 801-57304, 8-50214
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| M FINANCIAL HOLDINGS INCORPORATED | EQUITY OWNER | |
| HANEY-JACKSON, LAURA ELIZABETH | VICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER | 4771801 |
| LUDWIG, STEVEN CHARLES | CHIEF COMPLIANCE OFFICER | 2440911 |
| ROGERS, MARIA RENEE | PRINCIPAL FINANCIAL OFFICER | 2442526 |
| SCHOONMAKER, MICHAEL SKI | CHIEF EXECUTIVE OFFICER | 2408456 |
Regulatory assets under management
| Total Number of Accounts | 8,234 |
| AUM (Assets Under Management) | $ 4,078,516,284 |
Disclosures
| Regulatory Event | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/10/2025 | ||
| 11/13/2024 | ||
| 08/28/2023 |
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.
