Stephen E. Shafer
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.
Stephen Edward Shafer, who also goes by Steve Edward Shafer, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1998. Stephen had worked at 6 firms and has passed the Series 65, Series 63 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
July 2, 2007 - May 15, 2008
PURSHE KAPLAN STERLING INVESTMENTS
July 25, 2005 - December 31, 2017
CFS, LLC
April 20, 2004 - July 3, 2007
OSAIC WEALTH, INC.
February 10, 2000 - December 31, 2003
OPPORTUNITY CAPITAL ADVISORS, INC.
November 29, 1999 - August 16, 2002
GEARY SECURITIES, INC.
December 2, 1998 - October 19, 1999
CITIGROUP GLOBAL MARKETS 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
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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