Kevin W. Schaffer
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.
Kevin W Schaffer, who also goes by Kevin William Schaffer, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1994. Kevin had worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2018 - January 18, 2023
EMPOWER FINANCIAL SERVICES, INC.
October 2, 2017 - January 18, 2023
EMPOWER ADVISORY GROUP, LLC
December 27, 2016 - May 4, 2017
FIRST ALLIED SECURITIES, INC.
July 8, 2016 - November 9, 2016
INVESTORS CAPITAL CORP.
October 6, 2015 - May 4, 2017
SUMMIT BROKERAGE SERVICES, INC.
September 25, 2013 - May 4, 2017
CETERA INVESTMENT SERVICES LLC
September 25, 2013 - May 4, 2017
CETERA FINANCIAL SPECIALISTS LLC
September 25, 2013 - May 4, 2017
CETERA WEALTH SERVICES, LLC
May 20, 2008 - May 4, 2017
CETERA ADVISORS LLC
May 20, 2008 - May 4, 2017
CETERA ADVISORS LLC
March 2, 2006 - May 14, 2007
CHARLES SCHWAB & CO., INC.
March 2, 2006 - May 14, 2007
CHARLES SCHWAB & CO., INC.
June 28, 2005 - January 18, 2006
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 22, 2005 - January 18, 2006
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
January 23, 2003 - June 7, 2005
CHARLES SCHWAB & CO., INC.
December 23, 1996 - June 7, 2005
CHARLES SCHWAB & CO., INC.
May 11, 1996 - September 23, 1996
CINCINNATI ANALYSTS, INC.
February 4, 1996 - March 20, 1996
BOFA DISTRIBUTORS, INC.
August 1, 1994 - March 6, 1995
KEY INVESTMENTS INC.
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
EMPOWER FINANCIAL SERVICES, INC.
CRD#: 13109 / SEC#: , 8-33854
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY OF AMERICA | SHAREHOLDER | |
| BARRES, STEPHANIE | COMPLIANCE OFFICER | 2203746 |
| BRETON, HUGO | BOARD DIRECTOR | 8128232 |
| CHRISTOLINI, JOHN | CHIEF COMPLIANCE OFFICER | 4141296 |
| COCHRAN, SHANNON MARIE | COMPLIANCE OFFICER | 4948393 |
| CORDISCO, MEREDITH | VP, COMPLIANCE | 8189199 |
| CRAIG, CASEY R | SENIOR VICE PRESIDENT | 4680712 |
| ETTINGER, ROBERT DANIEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, VP, TREASURER | 5593259 |
| HUDSON, BROCKETT RICE | ASSISTANT SECRETARY | 6520983 |
| KAVAN, ADAM | ASSISTANT GENERAL COUNSEL | 7155499 |
| LINTON, RICHARD HENRY JR | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 2107513 |
| MCLEOD, DAVID GEORGE | BOARD DIRECTOR | 3041563 |
| MORRISON, DANIEL ARTHUR | SENIOR VICE PRESIDENT | 4078410 |
| PATEL, PALAK | SECRETARY | 7665103 |
| SECOR, STEPHANIE ANNE | VP, COMPLIANCE | 1454139 |
| SMOLEN, JOSEPH MICHAEL | SENIOR VICE PRESIDENT | 4100909 |
| STILLMAN, STEVEN JAMES | BOARD DIRECTOR | 4870117 |
| WADDELL, CAROL ELAINE | CHAIR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4867556 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
