Robert A. Schaffer
Professional summary
Robert Andrew Schaffer, who also goes by Robert Andrew Schaeffer, is a registered financial professional currently at THE VERTICAL GROUP located in Red Bank, New Jersey.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1996. Robert has worked at 4 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert Andrew Schaffer's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 17, 2002 - Present
THE VERTICAL GROUP
Office #1: 130 Maple Avenue Building 5, Ph, Red Bank, NJ 07701October 30, 2000 - August 19, 2002
LADENBURG THALMANN & CO. INC.
July 17, 1997 - November 10, 2000
SHARPE CAPITAL, INC.
August 29, 1996 - December 17, 1996
AEGIS CAPITAL CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/19/2022)
(6/23/2009)
(9/28/2010)
(3/9/2011)
(2/10/2003)
(5/27/2009)
(7/18/2017)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 5/20/1999
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
THE VERTICAL GROUP
CRD#: 104353 / SEC#: , 8-52814
Contact information
FINRA licenses (30 States and Territories)
Documents
Disclosures
| Regulatory Event | 13 |
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.
