Lee Allen Shaffer

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

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

Current Employers

Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2026-07-21
PA	RA	APPROVED	2020-04-22

TX RA
APPROVED

Since 2026-07-21
PA RA
APPROVED

Since 2020-04-22

Branch Locations

Denver, PA • 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
Signator Investors, Inc.	Boston	MA	07/1987	11/2018
Royal Alliance Associates, Inc.	Denver	PA	11/2018	Present

07/1987 → 11/2018

Signator Investors, Inc.

Boston, MA
11/2018 → Present

Royal Alliance Associates, Inc.

Denver, PA

Other Businesses

1. KEYSTONE FINANCIAL MANAGEMENT LLC - FIXED INSURANCE POSITION: Financial Advisor NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 20 START DATE: 09/18/1987 ADDRESS: 1362 Woodland Circle, Denver PA 17517, United States DESCRIPTION: sales /marketing of fixes annuities and non-variable insurance. 2. KEYSTONE FINANCIAL MANAGEMENT LLC POSITION: Financial Advisor NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/18/1987 ADDRESS: 1362 Woodland Circle, Denver PA 17517, United States DESCRIPTION: Sales/ marketing of securities and insurance products. 3. CFC CHURCH ELDER POSITION: Elder NATURE: Non profit church INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 05/11/2022 ADDRESS: 758 Spruce Road, New Holland PA 17557, United States DESCRIPTION: Meet 2x monthly to assist with the ministry of the local church. Note, there is no financial advice given. 4. SHAFFER WEALTH ADVISORS - FIXED INSURANCE POSITION: Financial Advisor NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 20 START DATE: 01/01/2025 ADDRESS: 1362 Woodland Circle, Denver PA 17517, United States DESCRIPTION: sales/ marketing of fixed annuities and non-variable insurance. 5. SHAFFER WEALTH ADVISORS POSITION: Financial Advisor NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 01/01/2026 ADDRESS: 1362 Woodland Circle, Denver PA 17517, United States DESCRIPTION: Sales/marketing of securities and insurance products

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-12-22
S63	Uniform Securities Agent State Law Examination	1987-12-28

S65 Uniform Investment Adviser Law Examination

1999-12-22
S63 Uniform Securities Agent State Law Examination

1987-12-28

Designations

Chartered Financial Consultant

View on SEC IAPD