Kenneth C. Shaffer
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kenneth Craig Shaffer was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1979. Kenneth had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 17, 2014 - August 10, 2018
QUESTAR ASSET MANAGEMENT, INC.
September 17, 2014 - August 10, 2018
QUESTAR CAPITAL CORPORATION
April 16, 2013 - May 5, 2014
SORRENTO PACIFIC FINANCIAL, LLC
April 16, 2013 - May 5, 2014
SORRENTO PACIFIC FINANCIAL, LLC
September 22, 2011 - April 22, 2013
AVANTAX ADVISORY SERVICES
September 22, 2011 - April 22, 2013
AVANTAX INVESTMENT SERVICES, INC.
June 19, 2006 - October 16, 2009
WELLS FARGO INVESTMENTS, LLC
June 19, 2006 - October 16, 2009
WELLS FARGO INVESTMENTS, LLC
July 30, 2003 - June 29, 2006
AMERIPRISE ADVISOR SERVICES, INC.
March 13, 2003 - June 29, 2006
AMERIPRISE ADVISOR SERVICES, INC.
September 10, 1999 - March 11, 2003
MORGAN STANLEY DW INC.
July 12, 1999 - October 8, 1999
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 7, 1993 - July 12, 1999
BA INVESTMENT SERVICES, INC.
July 15, 1991 - February 9, 1993
AMERIPRISE ADVISOR SERVICES, INC.
October 9, 1990 - July 15, 1991
ASSOCIATED SECURITIES CORP.
January 17, 1983 - October 22, 1990
PRUDENTIAL EQUITY GROUP, LLC
September 11, 1981 - November 30, 1982
UBS FINANCIAL SERVICES INC.
September 20, 1979 - September 11, 1981
DREXEL BURNHAM LAMBERT INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 3/7/1983
Foreign Currency Options ExaminationSeries 5
Date: 10/9/1981
Interest Rate Options ExaminationCurrent Firm
QUESTAR ASSET MANAGEMENT, INC.
CRD#: 133358 / SEC#: 801-63747
Contact information
Red Flags
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