Brian M. Schaeffer

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CRD#: 5249766

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.

Brian Matthew Schaeffer, CFP® was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 2008. Brian had worked at 4 firms and has passed the Series 66 and Series 7 exams.

At a Glance

Min. Asset: $500K–$1M

Serves: Business Owners & Entrepreneurs

Serves: High Net Worth Individuals & Families

Services Offered

Estate & Legacy Planning

Business Services

Financial Planning

Investment Management

Tax Planning

Cashflow & Budgeting

Retirement Planning

Education Funding

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.

ShankerValleau Accountants, Inc. - Accounting firm - Not investment-related - 5215 Old Orchard Road Ste 850, Skokie IL 60077 - Position: Accountant - Start Date: 9/2015 - Devotes a portion of his time per month - Duties: Tax preparation assistance MORRISON-SHEARER FOUNDATION, TREASURER - NOT INVESTMENT RELATED - 401 LEE ROAD, NORTHBROOK, IL 60062 - NATURE OF BUSINESS: TO PERPETUATE THE LEGACY OF DANCER-CHOREOGRAPHER SYBIL SHEARER AND PHOTOGRAPHER HELEN BALFOUR - START DATE: 5/2016 - APPROX HOURS/MONTH DEVOTED: 10 HOURS/MONTH, ZERO HOURS DEVOTED DURING SECURITIES TRADING HOURS

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2013

Experience

Past

September 21, 2015 - July 31, 2026

SHANKERVALLEAU WEALTH ADVISORS, INC.

RIA

CRD#: 117527

Skokie, IL

Past

March 20, 2012 - April 9, 2013

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

MADISON, WI

Past

March 13, 2012 - April 9, 2013

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

MADISON, WI

Past

April 10, 2008 - March 18, 2010

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

MADISON, WI

Past

April 10, 2008 - March 18, 2010

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MADISON, WI

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".

SHANKERVALLEAU WEALTH ADVISORS, INC.

SHANKER AND VALLEAU, INC. | SHANKERVALLEAU WEALTH ADVISORS, INC. | SHANKERVALLEAU INVESTMENT ADVISORS, INC.

CRD#: 117527 / SEC#: 801-62920

RIA

Registered Investment Advisory firm - (3/26/2004 Approved)

Illinois

Registered Investment Advisory firm - (3/26/2004 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/10/2008

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 4/9/2008

General Securities Representative Examination

Current Firm

SHANKERVALLEAU WEALTH ADVISORS, INC.

SHANKER AND VALLEAU, INC. | SHANKERVALLEAU WEALTH ADVISORS, INC. | SHANKERVALLEAU INVESTMENT ADVISORS, INC.

CRD#: 117527 / SEC#: 801-62920

RIA

Registered Investment Advisory firm - (3/26/2004 Approved)

Illinois

Registered Investment Advisory firm - (3/26/2004 Terminated)

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Contact information

Main Address

5215 Old Orchard Road Suite 850, Skokie, IL 60077

Mailing Address

Phone number

(847) 475-2900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART II BROCHURE (3/21/2025)

Regulatory assets under management

Total Number of Accounts	649
AUM (Assets Under Management)	$ 549,903,956

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.

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Brian M. Schaeffer

Professional summary

At a Glance

Services Offered

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SHANKERVALLEAU WEALTH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

SHANKERVALLEAU WEALTH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/10/2008

Series 7

Date: 4/9/2008

Current Firm

SHANKERVALLEAU WEALTH ADVISORS, INC.

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SHANKERVALLEAU WEALTH ADVISORS, INC.

TRUST BUT VERIFY

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