Philip C. Shaffer

ONEASCENT FAMILY OFFICES

Marco Island, FL

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CRD#: 716363

Professional summary

Philip Carl Shaffer, who also goes by Phil C Shaffer, Phil Shaffer, is a registered financial advisor currently at ONEASCENT FAMILY OFFICES located in Marco Island, Florida.

Philip is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1980. Philip has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 1 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Phil C Shaffer | Phil 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) - RIA

Click below to view Philip Carl 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

May 2, 2024 - Present

ONEASCENT FAMILY OFFICES

RIA

CRD#: 323305

Marco Island, FL

Past

November 27, 2018 - May 1, 2024

HAMILTON CAPITAL

RIA

CRD#: 109116

COLUMBUS, OH

Past

August 4, 2017 - December 31, 2018

HALITE PARTNERS, LLC

RIA

CRD#: 289182

COLUMBUS, OH

Past

June 1, 2009 - June 27, 2017

MORGAN STANLEY

RIA

CRD#: 149777

COLUMBUS, OH

Past

June 1, 2009 - June 27, 2017

MORGAN STANLEY

CRD#: 149777

COLUMBUS, OH

Past

February 20, 2001 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

COLUMBUS, OH

Past

July 31, 1993 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

COLUMBUS, OH

Past

June 21, 1993 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

November 21, 1986 - June 23, 1993

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

September 29, 1980 - November 25, 1986

E. F. HUTTON & COMPANY INC

CRD#: 235

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".

ONEASCENT FAMILY OFFICES

ONEASCENT FAMILY OFFICE | SOVEREIGN FAMILY OFFICE | ONEASCENT FAMILY OFFICES | ONEASCENT FAMILY OFFICE LLC

CRD#: 323305 / SEC#: 801-126924

RIA

Registered Investment Advisory firm - (11/21/2022 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

Florida
(6/3/2024)

IAR

Ohio
(5/2/2024)

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: 3/1/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/27/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/27/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 10/15/2003

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 1/15/1983

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 9/16/1980

Registered Representative Examination

Principal/Supervisory Exam

Series 8

Date: 6/17/1986

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

ONEASCENT FAMILY OFFICES

ONEASCENT FAMILY OFFICE | SOVEREIGN FAMILY OFFICE | ONEASCENT FAMILY OFFICES | ONEASCENT FAMILY OFFICE LLC

CRD#: 323305 / SEC#: 801-126924

RIA

Registered Investment Advisory firm - (11/21/2022 Approved)

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Contact information

Main Address

23 Inverness Center Parkway, Birmingham, AL 35242

Mailing Address

Phone number

(205) 313-9142

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OAFO ADV PART 2A (8/13/2025)

Regulatory assets under management

Total Number of Accounts	168
AUM (Assets Under Management)	$ 360,161,542

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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Advisor Monitoring

Firm Stability Insights

Philip C. Shaffer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

HAMILTON CAPITAL

HALITE PARTNERS, LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

UBS FINANCIAL SERVICES INC.

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

ONEASCENT FAMILY OFFICES

State Registrations and Notice Filings

Exams

Series 65

Date: 3/1/1993

Series 63

Date: 10/27/1980

SIE

Date: 6/27/2017

Series 31

Date: 10/15/2003

Series 7

Date: 1/15/1983

Series 1

Date: 9/16/1980

Series 8

Date: 6/17/1986

Current Firm

ONEASCENT FAMILY OFFICES

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ONEASCENT FAMILY OFFICES

TRUST BUT VERIFY

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