Robert Shuffield
Professional summary
Robert Shuffield is a registered financial professional currently at ROTHSCHILD & CO US INC. located in New York, New York.
Robert is registered as a RR (Registered Representative) and started their career in finance in 2016. Robert has worked at 2 firms and has passed the SIE, Series 79TO and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert Shuffield's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 6, 2021 - Present
ROTHSCHILD & CO US INC.
Office #1: 1251 Avenue Of The Americas, New York, NY 10020January 12, 2016 - May 20, 2016
TAP SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 2/6/2021
Investment Banking Registered Representative ExaminationFINRA
Current Firm
ROTHSCHILD & CO US INC.
CRD#: 2910 / SEC#: , 8-13852
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROTHSCHILD & CO NORTH AMERICA INC. | DIRECT SHAREHOLDER | |
| CARROLL, JOHN MURRAY | DIRECTOR | 2605675 |
| FELDMAN, TRACY J | DIRECTOR | 2575503 |
| LONDON, FRANK STEVEN | CHIEF COMPLIANCE OFFICER | 5861920 |
| NEISSA, JAMES MANUEL | DIRECTOR | 2142240 |
| SCHACKERT, CHRISTA MARY | PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, FINANCIAL OPERATIONS PRINCIPAL & CONTROLLER | 4219093 |
| SPELLER, MICHAEL CHARLES | CHIEF EXECUTIVE OFFICER (FOR REGULATORY AND COMPLIANCE PURPOSES), PARTNER AND DIRECTOR | 3105214 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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