Carter Shaffer

MONOCACY WEALTH MANAGEMENT

FREDERICK, MD 21701

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CRD#: 6748338

Professional summary

Carter Shaffer, who also goes by Carter Thomas Shaffer, Carter Shaffer, is a registered financial advisor currently at MONOCACY WEALTH MANAGEMENT, LLC located in Frederick, Maryland.

Carter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Carter has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carter Thomas Shaffer | Carter 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.

METROPOL REALTY INC; NOT INVESTMENT RELATED; 1146 WALKER RD, SUITE G, GREAT FALLS, VA 22066. REAL ESTATE; REAL ESTATE AGENT; 05/2020; 10 HOURS PER MONTH; 0 HOURS PER MONTH DURING TRADING HOURS; LICENSED REAL ESTATE AGENT ASSISTING INDIVIDUALS WITH BUYING AND SELLING REAL ESTATE. MONOCACY INSURANCE GROUP LLC; NOT INVESTMENT RELATED. 9099 RIDGEFIELD DRIVE, SUITE 205, FREDERICK, MD 21701. INSURANCE; INSURANCE AGENT/BROKER, CO-OWNER; 02/2024. 5 HOURS PER MONTH; 5 HOURS PER MONTH DURING TRADING HOURS. ASSISTING INDIVIDUALS WITH BUYING INSURANCE PRODUCTS. CARTER CAPITAL LLC. INVESTMENT RELATED. 9099 RIDGEFIELD DRIVE, SUITE 205, FREDERICK, MD 21701. FINANCE & INSURANCE. OWNER. 01/2024. 0 HOURS PER MONTH; 0 HOURS PER MONTH DURING TRADING HOURS. HOLDS INTEREST IN MONOCACY WEALTH MANAGEMENT AND MONOCACY INSURANCE GROUP.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carter 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

August 16, 2021 - Present

MONOCACY WEALTH MANAGEMENT, LLC

Office #1: 9099 Ridgefield Drive Suite 205, Frederick, MD 21701

RIA

CRD#: 315979

FREDERICK, MD

Past

September 26, 2018 - August 26, 2019

XML FINANCIAL GROUP

RIA

CRD#: 284987

ROCKVILLE, MD

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.

Highlighted states indicate IAR registrations

IAR

Maryland
(8/16/2021)

IAR

Texas
(3/20/2025)

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 65

Date: 9/26/2018

Uniform Investment Adviser Law Examination

Current Firm

MONOCACY WEALTH MANAGEMENT, LLC

CRD#: 315979 / SEC#: 801-122100

RIA

Registered Investment Advisory firm - (1/20/2022 Terminated)

Florida

Registered Investment Advisory firm - (10/24/2025 Approved)

Maryland

Registered Investment Advisory firm - (1/5/2022 Approved)

Texas

Registered Investment Advisory firm - (3/19/2025 Conditional Restricted)

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).

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Contact information

Main Address

9099 Ridgefield Drive Suite 205, Frederick, MD 21701

Mailing Address

Phone number

(301) 694-9712

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	162
AUM (Assets Under Management)	$ 30,478,505

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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Carter Shaffer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carter Shaffer's CRS (Customer Relationship Summary).

Certified licenses

Experience

MONOCACY WEALTH MANAGEMENT, LLC

XML FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 9/26/2018

Current Firm

MONOCACY WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MONOCACY WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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