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David Schaffer

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Clifton Park, NY

New York, NY

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-11-17
NY RA APPROVED 2025-11-03
  • TX RA
    APPROVED
    Since 2025-11-17
  • NY RA
    APPROVED
    Since 2025-11-03

Branch Locations

449 Route 146, Clifton Park, NY 12065 • United States

One Bryant Park, New York, NY 10036 • 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
Red Shift Recruting Troy NY 07/2017 10/2017
Unemployed Schenectady NY 05/2017 08/2017
Maximus Albany NY 03/2015 05/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Clifton Park NY 08/2025 Present
Goldman Sachs Ayco Latham NY 11/2017 08/2025
  • 07/2017 → 10/2017
    Red Shift Recruting
    Troy, NY
  • 05/2017 → 08/2017
    Unemployed
    Schenectady, NY
  • 03/2015 → 05/2017
    Maximus
    Albany, NY
  • 08/2025 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Clifton Park, NY
  • 11/2017 → 08/2025
    Goldman Sachs Ayco
    Latham, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-11-03
S63 Uniform Securities Agent State Law Examination 2018-08-27
  • S65 Uniform Investment Adviser Law Examination
    2025-11-03
  • S63 Uniform Securities Agent State Law Examination
    2018-08-27
Other Names
  • David Schaffer
  • David Richard Schaffer

View on SEC IAPD

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JONATHAN J. TAMUL
John CHARLES Petersen
DANIEL P VARTIGIAN

Other Offices

KEY INVESTMENT SERVICES LLC · CLIFTON PARK, NY
CETERA INVESTMENT ADVISERS LLC · CLIFTON PARK, NY
OPTIMUS WEALTH MANAGEMENT GROUP, INC. · CLIFTON PARK, NY
PFS INVESTMENTS INC. · CLIFTON PARK, NY
BANKERS LIFE ADVISORY SERVICES, INC. · Clifton Park, NY
CETERA INVESTMENT ADVISERS LLC · CLIFTON PARK, NY
OSAIC WEALTH, INC. · CLIFTON PARK, NY
CETERA INVESTMENT ADVISERS LLC · CLIFTON PARK, NY

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