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Glenn Morris Shafer

LPl Financial LLC

West Hartford, CT

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-02-11
CT RA APPROVED 2003-01-02
  • TX RA
    APPROVED_RES
    Since 2020-02-11
  • CT RA
    APPROVED
    Since 2003-01-02

Branch Locations

West Hartford, CT • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Linsco/Private Ledger West Hartford CT 01/2003 Present
  • 01/2003 → Present
    Linsco/Private Ledger
    West Hartford, CT
Previous Registrations
Other Businesses

1. 06/22/09 - DBA ONLY, SHAFER INVESTMENT MANAGEMENT, LLC.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-01-15
S63 Uniform Securities Agent State Law Examination 2001-01-23
  • S65 Uniform Investment Adviser Law Examination
    2002-01-15
  • S63 Uniform Securities Agent State Law Examination
    2001-01-23
Other Names
  • Glen Morris Shafer

View on SEC IAPD

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