RS
Robert N. Schaffer
LADENBURG THALMANN ASSET MANAGEMENT
Boca Raton, FL 33431
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CRD#: 4709587
RS
Professional summary
Robert Nathan Schaffer is a registered financial advisor currently at LADENBURG THALMANN ASSET MANAGEMENT INC located in Boca Raton, Florida and LADENBURG THALMANN & CO. INC. located in Boca Raton, 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).
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
April 28, 2022 - Present
LADENBURG THALMANN ASSET MANAGEMENT INC
Office #1: 2255 Glades Road, Suite 324a Office #20, Boca Raton, FL 33431RIA
CRD#: 108604
Boca Raton, FL
Current
April 25, 2022 - Present
LADENBURG THALMANN & CO. INC.
Office #1: 2255 Glades Road, Suite 324a, Boca Raton, FL 33431Office #2: 58 South Service Road Suite 160, Melville, NY 11747Office #3: 999 Vanderbilt Beach Rd Suite 200, Naples, FL 34108BD
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".
LT
LADENBURG THALMANN ASSET MANAGEMENT INC
GORDON WEALTH | THE CUNDY GROUP | THE BRESLIN GROUP | LADENBURG THALMANN ASSET MANAGEMENT INC
CRD#: 108604 / SEC#: 801-54909
RIA
Registered Investment Advisory firm - (10/16/1997 Approved)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
Alabama(4/25/2022)
RR
Alaska(4/25/2022)
RR
Arizona(4/25/2022)
RR
Arkansas(4/25/2022)
RR
California(4/25/2022)
RR
Colorado(4/25/2022)
RR
Connecticut(4/25/2022)
RR
Delaware(4/25/2022)
RR
District of Columbia(4/25/2022)
RR
Florida(4/25/2022)
IAR
Florida(4/28/2022)
RR
Georgia(4/25/2022)
RR
Hawaii(4/25/2022)
RR
Idaho(4/25/2022)
RR
Illinois(4/25/2022)
RR
Indiana(4/25/2022)
RR
Iowa(4/25/2022)
RR
Kansas(4/25/2022)
RR
Kentucky(4/25/2022)
RR
Louisiana(4/25/2022)
RR
Maine(4/25/2022)
RR
Maryland(4/25/2022)
RR
Massachusetts(4/25/2022)
RR
Michigan(4/25/2022)
RR
Minnesota(4/25/2022)
RR
Mississippi(4/25/2022)
RR
Missouri(4/25/2022)
RR
Montana(4/26/2022)
RR
Nebraska(4/25/2022)
RR
Nevada(4/25/2022)
RR
New Hampshire(4/25/2022)
RR
New Jersey(4/25/2022)
RR
New Mexico(4/25/2022)
RR
New York(4/25/2022)
IAR
New York(4/29/2022)
RR
North Carolina(4/25/2022)
RR
North Dakota(4/25/2022)
RR
Ohio(4/25/2022)
RR
Oklahoma(4/25/2022)
RR
Oregon(4/25/2022)
RR
Pennsylvania(4/25/2022)
RR
Puerto Rico(4/25/2022)
RR
Rhode Island(4/25/2022)
RR
South Carolina(4/25/2022)
RR
South Dakota(4/25/2022)
RR
Tennessee(4/25/2022)
RR
Texas(4/25/2022)
RR
Utah(4/25/2022)
RR
Vermont(4/25/2022)
RR
Virginia(4/25/2022)
RR
Washington(4/25/2022)
RR
West Virginia(4/25/2022)
RR
Wisconsin(4/25/2022)
RR
Wyoming(4/25/2022)
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
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
LT
LADENBURG THALMANN ASSET MANAGEMENT INC
GORDON WEALTH | THE CUNDY GROUP | THE BRESLIN GROUP | LADENBURG THALMANN ASSET MANAGEMENT INC
CRD#: 108604 / SEC#: 801-54909
RIA
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Contact information
Main Address
640 Fifth Avenue 4th Fl., New York, NY 10019
Mailing Address
Phone number
(800) 995-5267
Established
Firm type
Fiscal year end
# of Employees
33
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 3,334 |
| AUM (Assets Under Management) | $ 5,611,078,759 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
LADENBURG THALMANN ASSET MANAGEMENT INC
CRD#: 108604Boca Raton, FL 33431TRUST BUT VERIFY
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