RS
Robert N. Schaffer
ANDREW GARRETT
DELRAY BEACH, FL 33445
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CRD#: 4709587
RS
Professional summary
Robert Nathan Schaffer is a registered financial advisor currently at ANDREW GARRETT INC. located in Delray Beach, Florida.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Robert has worked at 5 firms and has passed the Series 66, Series 63, Series 79TO, Series 99TO, Series 52TO, Series 57TO, SIE, Series 55, Series 7, Series 14, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Nathan Schaffer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Nathan Schaffer's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 26, 2026 - Present
ANDREW GARRETT INC.
Office #1: 1615 Congress Ave Ste 103, Delray Beach, FL 33445RIA
BD
CRD#: 29931
DELRAY BEACH, FL
Current
January 9, 2026 - Present
ANDREW GARRETT INC.
Office #1: 1615 Congress Ave Ste 103, Delray Beach, FL 33445RIA
BD
CRD#: 29931
DELRAY BEACH, FL
Past
April 28, 2022 - January 6, 2026
LADENBURG THALMANN ASSET MANAGEMENT INC
RIA
CRD#: 108604
Boca Raton, FL
Past
April 25, 2022 - January 6, 2026
LADENBURG THALMANN & CO. INC.
BD
CRD#: 505
Boca Raton, FL
Past
March 5, 2009 - May 19, 2022
ANDREW GARRETT INC.
RIA
CRD#: 29931
LAKE WORTH, FL
Past
May 3, 2007 - May 19, 2022
ANDREW GARRETT INC.
BD
CRD#: 29931
LAKE WORTH, FL
Past
February 14, 2005 - February 1, 2007
ANDREW GARRETT INC.
BD
CRD#: 29931
NEW YORK, NY
Past
January 20, 2004 - March 31, 2005
BROKERAGEAMERICA, LLC
BD
CRD#: 47966
NEW YORK, NY
Past
November 14, 2003 - January 9, 2004
THOMAS GROUP CAPITAL
BD
CRD#: 112901
ATLANTA, GA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AG
ANDREW GARRETT INC.
ANDREW GARRET, INC | MIDWEST DISCOUNT BROKERS INC. | MIDWEST DISCOUNT BROKERS | ANDREW GARRETT, INC. | ANDREW GARRETT INC.
CRD#: 29931 / SEC#: 801-71581, 8-44659
RIA
Registered Investment Advisory firm - SEC (7/6/2010 Approved)California
Registered Investment Advisory firm - SEC (11/29/2011 Terminated)Florida
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Georgia
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/6/2010 Terminated)Minnesota
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Missouri
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Montana
Registered Investment Advisory firm - SEC (3/14/2019 Terminated)New York
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)North Carolina
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)South Carolina
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Texas
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Virginia
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(1/9/2026)
IAR
Florida(1/26/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 11/21/2005
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
AG
ANDREW GARRETT INC.
ANDREW GARRET, INC | MIDWEST DISCOUNT BROKERS INC. | MIDWEST DISCOUNT BROKERS | ANDREW GARRETT, INC. | ANDREW GARRETT INC.
CRD#: 29931 / SEC#: 801-71581, 8-44659
RIA
Registered Investment Advisory firm - SEC (7/6/2010 Approved)California
Registered Investment Advisory firm - SEC (11/29/2011 Terminated)Florida
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Georgia
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/6/2010 Terminated)Minnesota
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Missouri
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Montana
Registered Investment Advisory firm - SEC (3/14/2019 Terminated)New York
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)North Carolina
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)South Carolina
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Texas
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)Virginia
Registered Investment Advisory firm - SEC (11/28/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
230 Park Ave 3rd Floor West, New York, NY 10169
Mailing Address
230 Park Ave 3rd Floor West, New York, NY 10169
Phone number
(212) 682-8833
Established
Delaware since 04/19/2006
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
13
SEC notice filing (34 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ANDREW GARRETT HOLDING CORP | OWNER | |
| ESTATE OF JESSE UPCHURCH | SHARE HOLDER | |
| PLAINS CAPITAL BANK | EXECUTOR OF ESTATE | |
| CANNIZZARO-FONG, JANNELLE LYNN | CHIEF FINANCIAL OFFICER/FINOP | 4249300 |
| MAURER, MARK HENRY | CHIEF COMPLIANCE OFFICER | |
| MAURER, MARK HENRY | CHIEF COMPLIANCE OFFICER | 1496683 |
| MITCHELL, JAMES ROBERT JR | CHIEF ADMINISTRATIVE OFFICER | 1374268 |
| SYCOFF, ANDREW GARRETT | CHIEF EXECUTIVE OFFICER/DIRECTOR | 2119089 |
Regulatory assets under management
| Total Number of Accounts | 1,402 |
| AUM (Assets Under Management) | $ 663,049,158 |
Disclosures
| Regulatory Event | 15 |
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
ANDREW GARRETT INC.
CRD#: 29931Delray Beach, FL 33445TRUST BUT VERIFY
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