Gregg Shaffer has been an investment adviser representative at Richmond Investment Services since May 2024, and is not listed among the firm’s executive officers or direct owners. Gregg Shaffer holds a Kellogg Graduate School of Management from Northwestern University. Gregg Shaffer studied at Drake University.
Richmond Investment Services LLC is a Mequon, WI firm with $453M under management, 890 clients and 11 advisers across 2 offices, as of its August 2026 filing.
Gregg Shaffer is LPL Financial Advisor of Richmond Investment Services. He has 25 years of experience as a Financial Advisor. He works with individuals and multi-generational families on financial plans and investment strategies, and includes insurance solutions in his plans for income and for life and long-term care insurance.
Gregg Shaffer’s longest registration was 11 years at Morgan Stanley (2009–2020). Before joining Richmond Investment Services in 2024, Gregg Shaffer was registered through LPL Financial LLC and Morgan Stanley.
- – present · 2 yearsMequon, WI · Adviser representative · Firm CRD 327451
- LPL Financial LLC– · 3 yearsFort Mill, SC · Adviser representative · Firm CRD 6413
- Morgan Stanley– · 11 yearsMilwaukee, WI · Adviser representative · Firm CRD 149777
- Citigroup Global Markets Inc.– · 1 yearMilwaukee, WI · Adviser representative · Firm CRD 7059
Investment adviser representative registrations
Gregg Shaffer is registered as an investment adviser representative in Wisconsin, since May 2024.
- WisconsinSince 21 May 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 17 November 2000 |
| Series 7 | General Securities Representative Examination | 3 November 2000 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Gregg Alan Shaffer
- CRD
- 4269835
- Firm
- Richmond Investment Services · CRD 327451
- Office
- 7702 W MEQUON RD, Mequon, WI 53097-3217
- Registration
- Investment adviser and broker registrations
- In the industry since
- November 2000
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- richmondis.com
Where does Gregg Shaffer work?
Gregg Shaffer is an investment adviser representative registered through Richmond Investment Services LLC since May 2024, and is not listed among the firm’s executive officers or direct owners.
Is Gregg Shaffer a financial advisor?
Yes. Gregg Shaffer has a current investment-adviser registration in Wisconsin, through Richmond Investment Services since May 2024.
How many years of experience does Gregg Shaffer have?
Gregg Shaffer has 25 years in the financial industry, since November 2000, across 4 adviser firms.
What exams has Gregg Shaffer passed?
Gregg Shaffer has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in November 2000. FINRA credited Gregg Shaffer with the SIE, which began in October 2018.
Where did Gregg Shaffer work before Richmond Investment Services?
Before Richmond Investment Services, Gregg Shaffer was registered through Morgan Stanley, June 2009 to October 2020; Citigroup Global Markets Inc., November 2007 to June 2009.
Where is Gregg Shaffer based?
Gregg Shaffer’s registered office is in Mequon, WI.
Is Gregg Shaffer registered with FINRA?
Yes. Gregg Shaffer has a current broker registration, under CRD 4269835.
Source: FINRA BrokerCheck
How can I verify Gregg Shaffer’s record?
Search CRD 4269835 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Gregg Shaffer’s full registration record.