LS
Lindsey J. Shaffner
STRATEGIC ADVISERS LLC
BRANFORD, CT
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CRD#: 4748729
LS
Professional summary
Lindsey Jeanette Shaffner, who also goes by Lindsey J Shaffner, Lindsey Jeanette Shaffner, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Branford, Connecticut and FIDELITY BROKERAGE SERVICES LLC located in New Haven, Connecticut.
Lindsey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Lindsey has worked at 6 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lindsey J Shaffner | Lindsey Jeanette Shaffner
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.
OBA-104179|OrgNmn:T Shoreline Fitness, Inc DBA F45 Training Branford CT|Org Addr:Branford,Connecticu,US|OBA Nature:F45 Training Franchise|Invst Rel:N|Title:President/Owner|Duties:Owner, handle administrative tasks, coach when needed. I will not be compensated and will take the equity once sold. |StrtDt:06-16-21|TotHrs/mon:30|TrdHrs/mon:0|
CRS (Client Relationship Summary) - RIA
Click below to view Lindsey Jeanette Shaffner'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
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
Office #2: 265 Church St One Century Tower, New Haven, CT 06510-7013RIA
CRD#: 104555
BRANFORD, CT
Current
November 28, 2023 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 265 Church St One Century Tower, New Haven, CT 06510-7013BD
CRD#: 7784
NEW HAVEN, CT
Past
February 20, 2024 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
NEW HAVEN, CT
Past
October 11, 2023 - November 16, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
SHELTON, CT
Past
January 26, 2023 - November 16, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
SHELTON, CT
Past
July 5, 2007 - August 10, 2021
NEUBERGER BERMAN BD LLC
BD
CRD#: 2908
NEW YORK, NY
Past
May 9, 2007 - July 5, 2007
NEUBERGER BERMAN MANAGEMENT LLC
BD
CRD#: 5493
NEW YORK, NY
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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 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
Colorado(1/6/2025)
RR
Connecticut(11/28/2023)
IAR
Connecticut(3/31/2025)
RR
Florida(1/6/2025)
RR
Georgia(1/6/2025)
RR
Maine(1/6/2025)
RR
Massachusetts(1/14/2025)
RR
New Hampshire(1/7/2025)
RR
New Jersey(1/6/2025)
RR
New York(1/5/2025)
RR
North Carolina(1/6/2025)
RR
Pennsylvania(1/6/2025)
RR
Rhode Island(1/9/2025)
RR
South Carolina(1/9/2025)
RR
Texas(1/6/2025)
IAR
Texas(10/10/2025)
RR
Utah(1/7/2025)
RR
Vermont(1/6/2025)
RR
Virginia(1/6/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 9/12/2008
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
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Contact information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
