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Detailed Report
NORMAN CHARLES SCHAFFER
CRD#: 1366975
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 Enterprise Mill
1450 Greene Street, Suite 501
Augusta, GA 30901
Registration History
1985199019952000200520102015202020252 FIRMS2009 - 2017 (7 years)2 FIRMS2017 - Present (8 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2000 - 2009 (8 years)BTHE ROBINSON-HUMPHREY COMPANY, LLC (CRD# 723)1985 - 2000 (15 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2003 - 2009 (6 years)
Disclosure(s)
View By:
4/30/1998
Customer Dispute
Denied
License(s)

State Registrations

B
Florida 2/21/2017
B
Ohio 2/21/2017
B
Georgia 2/21/2017
B
South Carolina 2/21/2017
IA
Georgia 3/2/2017

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe C2 Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 Long-Term Stock Exchange, Inc.
B
 MEMX LLC
B
 MIAX PEARL, LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 NYSE National, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RBC CAPITAL MARKETS, LLC (CRD#:31194)
Enterprise Mill 1450 Greene Street, Suite 501, Augusta, GA 30901
Augusta, GA
Registered with this firm since 2/21/2017
B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
Enterprise Mill 1450 Greene Street, Suite 501, Augusta, GA 30901
Augusta, GA
Registered with this firm since 2/21/2017
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/01/2009 - 02/23/2017 MORGAN STANLEY (CRD#:149777) AUGUSTA, GA
B
 06/01/2009 - 02/23/2017 MORGAN STANLEY (CRD#:149777) AUGUSTA, GA
IA
 04/17/2003 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) AUGUSTA, GA
B
 10/19/2000 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) AUGUSTA, GA
B
 05/23/1985 - 10/20/2000 THE ROBINSON-HUMPHREY COMPANY, LLC (CRD#:723) ATLANTA, GA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.