Gregg Alan Shaffer

Current Employers

Employment History

• 11/2007 → 09/2020
  Citigroup Global Markets
  Milwaukee, WI
• 06/2009 → 09/2020
  Morgan Stanley
  Milwaukee, WI
• 01/2015 → 09/2020
  Morgan Stanley Private Bank, National Association
  New York, NY
• 09/2020 → Present
  Lpl Financial, Llc
  Mequon, WI
• 03/2024 → Present
  Richmond Investment Services
  Mequon, WI
• 09/2020 → Present
  Richmond Investment Services
  Mequon, WI

Previous Registrations

• 2009-06-01 → 2020-10-02
  Morgan Stanley
  Milwaukee, WI
• 2007-11-14 → 2009-06-01
  Citigroup Global Markets Inc.
  Milwaukee, WI

Other Businesses

1. 9/29/2020 - Richmond Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 11/2/2020 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Licensed Insurance Agent - Start 11/02/2020 - 2 Hours Per Month/1 Hours During Securities Trading. 3. 05/21/2024 - Richmond Investment Services, LLC - Inv Related - At Reported Business Location(s) - Registered Investment Advisor - IAR - Started: 3/25/2024 - 120 Hrs/Mo; 6 hrs During Trading - I provide investment advisory services through Richmond Investment Services, LLC, an independent investment advisor firm. I started this business activity in 3/2024. I expect to spend approximately 120 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 05/21/2024 - Richmond Investment Services, LLC - Inv Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started: 3/25/2024 - 160 Hrs/Mo; 8 Hrs During Trading.

Exams

• S66 Uniform Combined State Law Examination
  2000-11-17