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HS

Howard S. Shaffer

LOCKTON INVESTMENT SECURITIES
Kansas City, MO 64112
Some features on this profile are disabled
CRD#: 6033979
HS

Professional summary

Howard Stanton Shaffer, who also goes by Stan Shaffer, is a registered financial professional currently at LOCKTON INVESTMENT SECURITIES, LLC located in Kansas City, Missouri.

Howard is registered as a RR (Registered Representative) and started their career in finance in 2012. Howard has worked at 1 firm and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stan Shaffer

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 Howard Stanton Shaffer's CRS (Customer Relationship Summary).
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®
None

Experience

Current

June 5, 2012 - Present

LOCKTON INVESTMENT SECURITIES, LLC

Office #1: 444 W. 47th Street Suite 900, Kansas City, MO 64112
BD
CRD#: 137476
Kansas City, MO

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
Florida
(7/10/2012)
RR
Missouri
(10/2/2012)

Exams

State Security Law Exam
RR
Series 63
Date: 10/1/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 6/4/2012
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

LI
LOCKTON INVESTMENT SECURITIES, LLC
LOCKTON FINANCIAL ADVISORS, LLC | LOCKTON INVESTMENT SECURITIES, LLC | LOCKTON INVESTMENT SECURITIES SERVICES, LLC

CRD#: 137476 / SEC#: , 8-67090

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
444 W. 47th Street Suite 900, Kansas City, MO 64112
Mailing Address
444 W. 47th Street Suite 900, Kansas City, MO 64112
Phone number
(816) 960-9000
Established
Missouri since 05/01/2016
Firm type
Limited Liability Company
Fiscal year end
April
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LOCKTON INSURANCE AGENCY, LLC DBA LOCKTON COMPANIESCORPORATE UNIT HOLDER
CLARK, SUZETTE MICHELLEPRESIDENT3153620
HAYES, SUSAN ANNFINOP, CFO2856326
LOCKTON MANAGEMENT, LLCMANAGER
PATTEN, DEIRDRE MARIANCCO1357509

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

LOCKTON INVESTMENT SECURITIES, LLC

CRD#: 137476Kansas City, MO 64112

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