Roger Capen Shaffer

Employer firm

Hightower Advisors, LLC CRD 145323

$199B regulatory AUM 500 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2013 → Present
  Hightower Advisors, Llc
  Alpharetta, GA
• 05/2013 → Present
  Hightower Securities, Llc
  Alpharetta, GA

Previous Registrations

• 2005-06-28 → 2013-06-10
  Truist Investment Services, Inc.
  Alpharetta, GA
  Atlanta, GA
  Atlanta, GA
  Atlanta, GA
• 2003-06-13 → 2005-07-15
  Truist Securities, Inc.
  Atlanta, GA
• 1998-05-21 → 2003-06-20
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Alpharetta, GA

Other Businesses

SHAFFER WEALTH MANAGEMENT, LLC -ADMINISTRATIVE SERVICES COMPANY RELATED TO RIA PRACTICE. OLD WELL CAPITAL LLC (NON INVESTMENT RELATED) PALM COAST, FL MANAGER OWNS SECOND HOME/RENTAL CONDO IN FLORIDA 0-HOURS DEVOTED PER MONTH DURING BUSINESS HOURS/1-HOUR DEVOTED PER MONTH AFTER BUSINESS HOURS., Board of Directors at Signature Banks of Georgia.

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-01-03
• S63 Uniform Securities Agent State Law Examination
  1993-11-16

Other Names

• Roger Capen Schaffer
• Roger C Schaffer