Charles T. Shaefer

AIS PLANNING

St. Cloud, MN 56301

Some features on this profile are disabled

CRD#: 727283

Professional summary

Charles Ted Shaefer, who also goes by Shaefer Chuck, is a registered financial advisor currently at AIS PLANNING located in St. Cloud, Minnesota.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Charles has worked at 9 firms and has passed the Series 63, Series 3, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Shaefer Chuck

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 Charles Ted Shaefer'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

October 1, 2015 - Present

AIS PLANNING

Office #1: 622 Roosevelt Road Suite 160, St. Cloud, MN 56301Office #2: 12081 Nokomis Court, Fort Myers, FL 33905

RIA

CRD#: 148821

St. Cloud, MN

Past

December 5, 2013 - November 28, 2018

KEYSTONE WEALTH ADVISORS, INCORPORATED

RIA

CRD#: 153418

MINNEAPOLIS, MN

Past

February 16, 2001 - March 20, 2001

FINTEGRA, LLC

CRD#: 16741

MINNEAPOLIS, MN

Past

March 3, 1993 - March 5, 1999

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

January 1, 1990 - March 4, 1993

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

Past

October 13, 1984 - November 6, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

December 8, 1982 - October 3, 1984

LFK INCORPORATED

CRD#: 6689

Past

October 16, 1981 - October 14, 1982

OSAIC FS, INC.

CRD#: 3870

Past

April 1, 1981 - November 20, 1983

WADDELL & REED

CRD#: 866

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".

AIS PLANNING

ACCREDITED INVESTOR SERVICES, LLC | WINONA BANK HOLDING COMPANY FINANCIAL SERVICES, LLC | AIS PLANNING

CRD#: 148821 / SEC#: 801-132984

RIA

Registered Investment Advisory firm - (6/13/2025 Approved)

Arizona

Registered Investment Advisory firm - (6/16/2025 Terminated)

Florida

Registered Investment Advisory firm - (6/16/2025 Terminated)

Minnesota

Registered Investment Advisory firm - (6/16/2025 Terminated)

Texas

Registered Investment Advisory firm - (6/16/2025 Terminated)

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).

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
(10/26/2015)

IAR

Minnesota
(10/1/2015)

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

Series 63

Date: 4/10/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 8/27/1996

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/17/1984

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/30/1981

Investment Company Products/Variable Contracts Representative Examination

Current Firm

AIS PLANNING

ACCREDITED INVESTOR SERVICES, LLC | WINONA BANK HOLDING COMPANY FINANCIAL SERVICES, LLC | AIS PLANNING

CRD#: 148821 / SEC#: 801-132984

RIA

Registered Investment Advisory firm - (6/13/2025 Approved)

Arizona

Registered Investment Advisory firm - (6/16/2025 Terminated)

Florida

Registered Investment Advisory firm - (6/16/2025 Terminated)

Minnesota

Registered Investment Advisory firm - (6/16/2025 Terminated)

Texas

Registered Investment Advisory firm - (6/16/2025 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

622 Roosevelt Road Suite 160, St. Cloud, MN 56301

Mailing Address

Phone number

(320) 252-6552

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AIS PLANNING ADV BROCHURE (5/13/2025)

Regulatory assets under management

Total Number of Accounts	1,425
AUM (Assets Under Management)	$ 485,133,788

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.

Similar Advisors

Nathan Bosek

FARTHER

IAR

Sartell, MN

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Charles T. Shaefer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Ted Shaefer's CRS (Customer Relationship Summary).

Certified licenses

Experience

KEYSTONE WEALTH ADVISORS, INCORPORATED

FINTEGRA, LLC

LPL FINANCIAL LLC

VP DISTRIBUTORS LLC

INTEGRATED RESOURCES EQUITY CORPORATION

LFK INCORPORATED

OSAIC FS, INC.

WADDELL & REED

Primary Firm SEC Registration

AIS PLANNING

State Registrations and Notice Filings

Exams

Series 63

Date: 4/10/1981

Series 3

Date: 8/27/1996

Series 7

Date: 11/17/1984

Series 6

Date: 3/30/1981

Current Firm

AIS PLANNING

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AIS PLANNING

TRUST BUT VERIFY

Similar Advisors