Craig S. 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.
Craig Scott Schaffer, who also goes by Craig S Schaffer, Craig Schaffer, was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1995. Craig had worked at 8 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 2014 - March 29, 2019
AVATAR SECURITIES, LLC
June 30, 2014 - August 8, 2014
QUASAR TRADING, LLC
April 13, 2011 - July 24, 2012
COASTAL TRADE SECURITIES, LLC
June 22, 2010 - April 25, 2011
TRANSCEND CAPITAL
March 3, 2003 - May 26, 2009
FIS BROKERAGE & SECURITIES SERVICES LLC
November 9, 2001 - March 3, 2003
RUMSON CAPITAL, LLC
October 3, 1996 - January 3, 2001
TAFFERER TRADING, LLC
May 1, 1995 - September 19, 1996
UBS FINANCIAL SERVICES 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
Series 55
Date: 3/18/2000
Limited Representative-Equity Trader ExamCurrent Firm
AVATAR SECURITIES, LLC
CRD#: 147763 / SEC#: , 8-67932
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVATAR TRADING GROUP, LLC | HOLDING CO. | |
| DEETER, MISHA BODHI | MEMBER | 5132163 |
| BROWSKI, ANDREW CHARLES | CHIEF COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER | 5778834 |
| HOLLAND, RAYMOND F | CO-MANAGING MEMBER | 5509397 |
| KATHWARI, OMAR FAROOQ | CO-MANAGING MEMBER | 5509343 |
| SLOAN NOWAK, JACQUELINE LEE | FINOP/PRINCIPAL FINANCIAL OFFICER | 2717305 |
Disclosures
| Regulatory Event | 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.
