Jacob T. Shaeffer
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.
Jacob T Shaeffer, who also goes by Jake Shaeffer, was a registered financial professional .
Jacob is a previously registered financial professional and started their career in finance in 2003. Jacob had worked at 5 firms and has passed the Series 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2009 - May 15, 2015
ITAU BBA USA SECURITIES, INC.
December 13, 2004 - March 31, 2009
CITIGROUP DERIVATIVES MARKETS INC.
December 10, 2004 - December 13, 2004
CITIGROUP DERIVATIVES MARKETS INC.
December 9, 2004 - March 23, 2009
CITIGROUP GLOBAL MARKETS INC.
March 27, 2003 - December 9, 2004
KNIGHT EXECUTION PARTNERS LLC
March 27, 2003 - December 10, 2004
KNIGHT FINANCIAL PRODUCTS LLC
Primary Firm SEC Registration
ITAU BBA USA SECURITIES, INC.
CRD#: 118817 / SEC#: 801-128491, 8-53702
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
ITAU BBA USA SECURITIES, INC.
CRD#: 118817 / SEC#: 801-128491, 8-53702
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ITB HOLDING BRASIL PARTICIPAÇÕES LTD | DIRECT OWNER | |
| DUKES, MATTHEW GARDNER | EXECUTIVE REPRESENTATIVE | 4830845 |
| GLYNN, MICHAEL GERARD | FINOP | 3219445 |
| GOODALL, KENNETH RAY | CHIEF COMPLIANCE OFFICER | 2682569 |
| LINNET, LEONARD BRUNO | DIRECTOR | 4400967 |
| MCCLANAN, JULIA CHEN | DIRECTOR | 4591590 |
| WILBERG, FELIPE WEIL | DIRECTOR | 2568663 |
Disclosures
| Regulatory Event | 3 |
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.
