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Niall B. Shaffery

VANCE WEALTH
Santa Clarita, CA 91350
Some features on this profile are disabled
CRD#: 6962112
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Professional summary

Niall Brennan Shaffery, who also goes by Niall Shaffery, is a registered financial advisor currently at VANCE WEALTH located in Santa Clarita, California.

Niall is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Niall has worked at 1 firm and has passed the Series 65 and Series 66 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Niall Shaffery

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. BUSINESS PROFESSIONAL ORGANIZATION, VALENCIA, CA, REFERRAL NETWORK, VICE PRESIDENT, 10/14/2021, 6 HRS/MNTH, 6 HRS/MNTH DURING TRADING HOURS, INTERVIEWING POTENTIAL NEW MEMBERS, TRACKING MEMBER INVOLVEMENT AND PARTICIPATION.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Niall Brennan Shaffery'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

December 22, 2021 - Present

VANCE WEALTH

Office #1: 26491 Summit Circle, Santa Clarita, CA 91350
RIA
CRD#: 310162
Santa Clarita, CA

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".
VW
VANCE WEALTH
ADVANCED 401K SOLUTIONS | VANCE WEALTH, LLC | VANCE WEALTH, INC. | VANCE WEALTH GROUP, INC. | VANCE WEALTH

CRD#: 310162 / SEC#: 801-119423

RIA
Registered Investment Advisory firm - (9/9/2020 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.

Highlighted states indicate IAR registrations

IAR
California
(12/22/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/22/2021
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 9/24/2021
Uniform Combined State Law Examination

Current Firm

VW
VANCE WEALTH
ADVANCED 401K SOLUTIONS | VANCE WEALTH, LLC | VANCE WEALTH, INC. | VANCE WEALTH GROUP, INC. | VANCE WEALTH

CRD#: 310162 / SEC#: 801-119423

RIA
Registered Investment Advisory firm - (9/9/2020 Approved)
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Contact information

Main Address
26491 Summit Circle, Santa Clarita, CA 91350
Mailing Address
Phone number
(888) 775-0950
Established
Firm type
Fiscal year end
# of Employees
19

SEC notice filing (10 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

VANCE WEALTH DISCLOSURE BROCHURE (9/11/2025)

Regulatory assets under management

Total Number of Accounts1,481
AUM (Assets Under Management)$ 736,109,579

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

VANCE WEALTH

CRD#: 310162Santa Clarita, CA 91350

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