AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
TS

Thomas E. Shaffer

MERLIN'S PRIEST
ANDERSON, IN 46013
Some features on this profile are disabled
CRD#: 5944204
TS
Thomas Edward Shaffer IIIMERLIN'S PRIEST

Professional summary

Thomas Edward Shaffer III, CFP®, who also goes by Thomas Edward Shaffer III, is a registered financial professional currently at MERLIN'S PRIEST located in Anderson, Indiana.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2023. Thomas has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Aliases

Thomas Edward Shaffer Iii

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Edward Shaffer III'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®
CFP®

Certified Financial Planner

Start date: 2019

Experience

Current

July 9, 2026 - Present

MERLIN'S PRIEST

Office #1: 5411 Dr. Mlk Jr. Blvd, Anderson, IN 46013
BD
CRD#: 334898
ANDERSON, IN
Past

August 1, 2023 - October 20, 2025

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
Indianapolis, IN
Past

July 31, 2023 - October 20, 2025

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
Indianapolis, IN

State Registrations and Notice Filings

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

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
Indiana
(7/9/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/1/2023
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/29/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/9/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

MP
MERLIN'S PRIEST
MERLIN'S PRIEST | MERLIN'S PRIEST, LLC

CRD#: 334898 / SEC#: , 8-71331

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Loading...

Contact information

Main Address
5411 Dr. Mlk Jr. Blvd, Anderson, IN 46013
Mailing Address
725 Forest Dr, Anderson, IN 46011
Phone number
(765) 606-5899
Established
Indiana since 08/29/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PATTERSON, MIGUAL DAMIENCEO, ELECTED MANAGER AND MEMBER5126220
UPSHAW, JOHN CHRISTOPHERFINANCIAL AND OPERATIONS PRINCIPAL AND CHIEF COMPLIANCE OFFICER5511420

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

MERLIN'S PRIEST

CRD#: 334898Anderson, IN 46013

TRUST BUT VERIFY

Monitor Thomas Shaffer

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

MK
Mahmood KanuAdvisorCheck Check Mark
WELLS FARGO CLEARING SERVICES, LLC
RR
WASHINGTON, DC
Lea Smith Johnson
Lea Smith JohnsonAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
BRADENTON, FL
Joshua Lyndon Carter
Joshua CarterAdvisorCheck Check Mark
MML INVESTORS SERVICES, LLC
IAR
RR
Conway, AR
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.