Stephen Shaffer is a registered investment advisor, based in Raleigh, NC, with 21 years of industry experience.
Location
611 Oberlin Rd, Raleigh, NC, 27605
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Regulatory History (1)
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Customer Dispute
May 2016Denied
Other Business Activities
Stephen is a member of Cabinlot LLC, which is used for vacation rental of a family's second home. He spends minimal time on this activity.
Employment History
Current Registrations
Truist Advisory Services, INC.
February 2021 - Present · 5 yrs 7 mos
Truist Investment Services, INC.Broker
February 2021 - Present · 5 yrs 7 mos
Truist Investment Services, INC.
February 2021 - Present · 5 yrs 7 mos
Previous Registrations
Bb&t Securities, LLCBroker
January 2018 - February 2021 · 3 yrs 1 mo
Bb&t Securities, LLC
January 2018 - February 2021 · 3 yrs 1 mo
Bb&t Investment Services, INC.
September 2013 - January 2018 · 4 yrs 4 mos
Bb&t Investment Services, INC.Broker
July 2009 - January 2018 · 8 yrs 6 mos
Edward JonesBroker
March 2004 - June 2009 · 5 yrs 3 mos
State Registrations18 states
AZCADCDEFLGAINMAMDMSNCNJPASCTNTXVAWI
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.