Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger L Shaffer is a financial advisor with over 20 years of experience in the industry. Roger is currently registered with Stonex Financial Inc. and has held previous positions at several other firms including INTL CUSTODY & CLEARING SOLUTIONS INC., STERNE, AGEE & LEACH, INC., FIRST AMERICAN CAPITAL AND TRADING CORPORATION and AVENTURA SECURITIES, LLC. Roger is licensed in Alabama, Florida and New York. Roger has a wide range of experience in the financial industry, including investments, trading, and research.
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.
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.
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2
FL
11/13/2013 - Present
Stonex Financial Inc. (BOCA RATON FL)
FL
09/30/2016 - 08/31/2018
INTL CUSTODY & CLEARING SOLUTIONS INC. (Boca Raton FL 33431 FL)
FL
09/29/2016 - 07/11/2017
STERNE, AGEE & LEACH, INC. (BOCA RATON FL)
FL
05/15/2007 - 11/22/2013
FIRST AMERICAN CAPITAL AND TRADING CORPORATION (BOCA RATON FL)
FL
01/14/2010 - 11/06/2013
LIVINGSTON MONROE CAPITAL GROUP INC. (BOCA RATON FL)
FL
03/19/2010 - 10/31/2013
AVENTURA SECURITIES, LLC (BOCA RATON FL)
FL
06/19/2003 - 11/23/2009
VARIANT TRADING INSTITUTIONAL GROUP, INC. (BOCA RATON FL)
FL
10/26/2001 - 05/16/2002
DIRECT XCHANGE SECURITIES, INC. (PLANTATION FL)
FL
09/22/2000 - 05/16/2002
TRADESTATION SECURITIES, INC. (PLANTATION FL)
BC
Issued 10/20/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/22/2006
Series 27 - Financial and Operations Principal Examination
BC
Issued 04/18/2000
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/02/2005
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 03/21/2002
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 04/10/2001
Series 3 - National Commodity Futures Examination
BC
Issued 03/01/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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