DS
DS

Douglas Dean Shaffer

7 Years of Experience
BrokerSells Insurance
Areas of Practice
Investment Management
Compensation
Fee-Only (AUM)
Firm Size
24 advisors
Number of Clients
264 clients
Average Client Portfolio
$262K average
Assets Under Management
$69.2M

Fee Structure

Minimum Investment:None
Financial Planning:Investment management only
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Location

15 W 38th St., #704, New York, NY, 10018

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

Douglas is an agent for AGIA, selling non-securities insurance products, dedicating a few hours per week. He also anticipates starting two investment-related activities in June 2024 with Retire 1 and Highland Capital, each taking a few hours per week.

Employment History
Current Registrations
Stirlingshire InvestmentsBroker
February 2024 - Present · 2 yrs
Stirlingshire Investments
February 2024 - Present · 2 yrs
Stirlingshire Investments
February 2024 - Present · 2 yrs
Previous Registrations
VALIC Financial Advisors, INC.
March 2022 - March 2024 · 2 yrs
VALIC Financial Advisors, INC.Broker
March 2022 - March 2024 · 2 yrs
Cuso Financial Services, L.P.
May 2020 - January 2022 · 1 yr 8 mos
Cuso Financial Services, L.P.Broker
May 2020 - January 2022 · 1 yr 8 mos
Ameriprise Financial Services, LLC.
July 2018 - March 2020 · 1 yr 8 mos
Ameriprise Financial Services, LLCBroker
November 2017 - March 2020 · 2 yrs 4 mos
State Registrations2 states
NYOH
AdvisorBrokerBoth
Exams
No exam information available for this advisor.