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WS

William T. Shaffer

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CRD#: 2590103
WS

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.

William Thomas Shaffer, who also goes by Bill Shaffer, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1995. William had worked at 8 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bill 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

April 3, 2013 - October 30, 2013

QUESTAR ASSET MANAGEMENT, INC.

RIA
CRD#: 133358
MINNEAPOLIS, MN
Past

March 15, 2013 - October 30, 2013

QUESTAR CAPITAL CORPORATION

BD
CRD#: 43100
TAMPA, FL
Past

October 31, 2007 - January 7, 2013

NEW ENGLAND SECURITIES

RIA
CRD#: 615
TAMPA, FL
Past

October 23, 2007 - January 7, 2013

NEW ENGLAND SECURITIES

BD
CRD#: 615
TAMPA, FL
Past

January 29, 2002 - October 11, 2007

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
TAMPA, FL
Past

January 29, 2002 - October 11, 2007

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
TAMPA, FL
Past

June 9, 1999 - February 5, 2002

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

April 6, 1998 - April 28, 1998

NEW ENGLAND SECURITIES

BD
CRD#: 615
Past

December 24, 1996 - April 2, 1998

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

December 24, 1996 - April 2, 1998

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN
Past

February 2, 1996 - November 22, 1996

PINEBRIDGE SECURITIES LLC

BD
CRD#: 5967
NEW YORK, NY
Past

June 9, 1995 - December 31, 1995

EQUITY SERVICES, INC.

BD
CRD#: 265
MONTPELIER, VT

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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/5/2002
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/28/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/28/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/8/1995
Investment Company Products/Variable Contracts Representative Examination

Current Firm

QA
QUESTAR ASSET MANAGEMENT, INC.
QUESTAR ASSET MANAGEMENT, INC.

CRD#: 133358 / SEC#: 801-63747

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Contact information

Main Address
5701 Golden Hills Drive, Minneapolis, MN 55416
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

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

QUESTAR ASSET MANAGEMENT, INC.

CRD#: 133358

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