linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Matthew Shaffer

Guggenheim Securities, LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Matthew? Claim Your Profile

About Matthew Shaffer

Matthew Shaffer is a securities professional with over 12 years of experience in the financial services industry. Matthew is currently registered with Guggenheim Securities, LLC and has held previous positions with SRT Securities LLC, NICO Securities, LLC, 303 Equity Trading Group II, LLC, and Prudential Securities Incorporated. Matthew has a strong understanding of the securities industry and is committed to providing his clients with the highest level of service. Matthew is a Series 7, Series 56, Series 63, Series 57TO and SIE licensed representative.

Firm Information

Matthew Shaffer is currently registered with Guggenheim Securities, LLC. Guggenheim Securities, LLC is a Limited Liability Company formed in January 1999. The firm is registered with the SEC and all 50 states, as well as the District of Columbia, Puerto Rico, and the U.S. Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

107

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Matthew Shaffer’s Registration & Firm History

NY

01/12/2021 - Present

Guggenheim Securities, LLC (NEW YORK NY)

NY

01/31/2014 - 01/11/2021

SRT SECURITIES LLC (NEW YORK NY)

IL

05/24/2012 - 12/03/2013

NICO SECURITIES, LLC (CHICAGO IL)

IL

03/18/2011 - 10/06/2011

303 EQUITY TRADING GROUP II, LLC (CHICAGO IL)

NY

10/16/1993 - 04/07/1995

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

Not sure if Matthew Shaffer is right for you?

Licenses & Designations

BC

Issued 02/10/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/30/2014

Series 7 - General Securities Representative Examination

BC

Issued 08/15/2011

Series 56 - Proprietary Trader Qualification Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

I

Investors' Exchange LLC

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Matthew Shaffer.
Not sure if Matthew Shaffer is right for you?