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DS

Douglas D. Shaffer

STIRLINGSHIRE INVESTMENTS
Toledo, OH 43623
Some features on this profile are disabled
CRD#: 6822465
DS

Professional summary

Douglas Dean Shaffer, who also goes by Douglas Shaffer, Douglas Dean Shaffer, is a registered financial advisor currently at STIRLINGSHIRE INVESTMENTS located in Toledo, Ohio and STIRLINGSHIRE INVESTMENTS located in New York City, New York.

Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Douglas has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Douglas Shaffer | Douglas Dean 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.
1.RetireOne - Position: Variable Annuities Rep Investment Related: YES NUMBER OF HOURS: 20 Hrs/Month during trading DESCRIPTION: Sell Variable Annuities 2.Highland Capital - Position: Variable Annuities Rep Investment Related: YES NUMBER OF HOURS: 20 Hrs/Month during trading DESCRIPTION: Annuities sales

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Dean 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

February 20, 2024 - Present

STIRLINGSHIRE INVESTMENTS

Office #1: 4213 North Holland Sylvania Rd, Toledo, OH 43623
RIA
CRD#: 327779
Toledo, OH
Current

February 20, 2024 - Present

STIRLINGSHIRE INVESTMENTS

Office #1: 15 W 38th St Suite 704, New York City, NY 10018
BD
CRD#: 310576
New York City, NY
Past

March 14, 2022 - March 12, 2024

VALIC FINANCIAL ADVISORS, INC.

RIA
CRD#: 42803
INDEPENDENCE, OH
Past

March 14, 2022 - March 12, 2024

VALIC FINANCIAL ADVISORS, INC.

BD
CRD#: 42803
INDEPENDENCE, OH
Past

May 14, 2020 - January 24, 2022

CUSO FINANCIAL SERVICES, L.P.

RIA
CRD#: 42132
Maumee, OH
Past

May 14, 2020 - January 24, 2022

CUSO FINANCIAL SERVICES, L.P.

BD
CRD#: 42132
Maumee, OH
Past

July 25, 2018 - March 9, 2020

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
Perrysburg, OH
Past

November 30, 2017 - March 9, 2020

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Perrysburg, OH

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".
SI
STIRLINGSHIRE INVESTMENTS
STIRLINGSHIRE INVESTMENTS | STIRLINGSHIRE RIA LLC. | STIRLINGSHIRE RIA LLC

CRD#: 327779 / SEC#: 801-128665

RIA
Registered Investment Advisory firm - (9/7/2023 Approved)

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.
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
New York
(2/20/2024)
RR
Ohio
(2/20/2024)
IAR
Ohio
(2/20/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/13/2018
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/30/2017
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SI
STIRLINGSHIRE INVESTMENTS
STIRLINGSHIRE INVESTMENTS | STIRLINGSHIRE RIA LLC. | STIRLINGSHIRE RIA LLC

CRD#: 327779 / SEC#: 801-128665

RIA
Registered Investment Advisory firm - (9/7/2023 Approved)
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Contact information

Main Address
15 W 38th St. #704, New York, NY 10018
Mailing Address
Phone number
(877) 600-7026
Established
Firm type
Fiscal year end
# of Employees
29

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

STIRLINGSHIRE ADV PART 2 (10/22/2025)

Regulatory assets under management

Total Number of Accounts1,135
AUM (Assets Under Management)$ 179,802,588

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

STIRLINGSHIRE INVESTMENTS

CRD#: 327779Toledo, OH 43623

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