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Sean M. Shafer

INDEPENDENT INVESTMENT BANKERS,
San Diego, CA
Some features on this profile are disabled
CRD#: 7482580
SS

Professional summary

Sean Matthew Shafer is a registered financial professional currently at INDEPENDENT INVESTMENT BANKERS, CORP. located in San Diego, California.

Sean is registered as a RR (Registered Representative) and started their career in finance in 2022. Sean has worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Sean Matthew Shafer's 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

January 4, 2022 - Present

INDEPENDENT INVESTMENT BANKERS, CORP.

RIA
BD
CRD#: 154134
San Diego, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Texas
(1/13/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 1/13/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/4/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/2/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

II
INDEPENDENT INVESTMENT BANKERS, CORP.
INDEPENDENT INVESTMENT BANKERS CORP. | INDEPENDENT INVESTMENT BANKERS, CORP.

CRD#: 154134 / SEC#: , 8-68609

Arizona
Registered Investment Advisory firm - SEC (7/14/2025 Terminated)
Texas
Registered Investment Advisory firm - SEC (7/14/2025 Termination Requested)
Washington
Registered Investment Advisory firm - SEC (8/14/2025 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
11801 Domain Blvd 3rd Floor, Austin, TX 78758
Mailing Address
2900 North Quinlan Park Rd. Suite# 240-235, Austin, TX 78732
Phone number
(512) 266-3000
Established
Delaware since 04/07/2010
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
6

FINRA licenses (51 States and Territories)

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

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
IIB HOLDINGS, CORP.OWNER
FICHERA, DANTECEO/CFO3059445
GODDARD, HOUSTON ALLENCCO AND GENERAL COUNSEL1260759

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

INDEPENDENT INVESTMENT BANKERS, CORP.

CRD#: 154134San Diego, CA

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