Stephen Michael Shaffer

J.P. Morgan Securities LLC

Westerville, OH

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Current Employers

J.P. Morgan Securities Llc

270 Park Avenue, New York, NY 10017 • United States

Current Registrations

Authority	Category	Status	Date
OH	RA	APPROVED	2026-04-16

OH RA
APPROVED

Since 2026-04-16

Branch Locations

Columbus, OH • United States

Columbus, OH • United States

370 S Cleveland Ave Floor 2, Westerville, OH 43081 • 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

Organization	City	State	From	To
J.P. Morgan Securities Llc	Westerville	OH	03/2026	Present
Unemployed	Columbus	OH	04/2025	02/2026
Modern Woodmen Of America	Columbus	OH	01/2025	03/2025
Tricord Wealth Advisors	Columbus	OH	08/2024	12/2024
Unemployed	Columbus	OH	05/2024	07/2024
Kroger	Columbus	OH	05/2016	04/2024

03/2026 → Present

J.P. Morgan Securities Llc

Westerville, OH
04/2025 → 02/2026

Unemployed

Columbus, OH
01/2025 → 03/2025

Modern Woodmen Of America

Columbus, OH
08/2024 → 12/2024

Tricord Wealth Advisors

Columbus, OH
05/2024 → 07/2024

Unemployed

Columbus, OH
05/2016 → 04/2024

Kroger

Columbus, OH

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2025-12-13
S65	Uniform Investment Adviser Law Examination	2025-08-16

S63 Uniform Securities Agent State Law Examination

2025-12-13
S65 Uniform Investment Adviser Law Examination

2025-08-16

Other Names

Stephen Michael Shaffer
Stephen M Shaffer

View on SEC IAPD

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