• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
GREGG ALAN SHAFFER
CRD#: 4269835
IA
Investment Adviser
B
Broker
RICHMOND INVESTMENT SERVICES LLCCRD#: 327451 7702 W MEQUON RD
MEQUON, WI 53097-3217
LPL FINANCIAL LLCCRD#: 6413 7702 W MEQUON RD
MEQUON, WI 53097
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2007 - 2009 (1 year)2 FIRMS2009 - 2020 (11 years)IARICHMOND INVESTMENT SERVICES LLC (CRD# 327451)2024 - Present (<1 year)BLPL FINANCIAL LLC (CRD# 6413)2020 - Present (4 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2000 - 2007 (7 years)IALPL FINANCIAL LLC (CRD# 6413)2020 - 2024 (3 years)
License(s)

State Registrations

B
Idaho 9/25/2020

B
Ohio 9/25/2020

B
Illinois 9/25/2020

B
Texas 5/2/2024

B
Kansas 5/9/2023

B
Virginia 9/25/2020

B
Minnesota 5/10/2021

B
Washington 9/25/2020

B
New York 9/25/2020

B
Wisconsin 9/25/2020

B
North Carolina 9/25/2020

IA
Wisconsin 5/21/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RICHMOND INVESTMENT SERVICES LLC (CRD#:327451)
7702 W MEQUON RD, MEQUON, WI 53097-3217
Registered with this firm since 5/21/2024

B
LPL FINANCIAL LLC (CRD#:6413)
7702 W MEQUON RD, MEQUON, WI 53097
Registered with this firm since 9/25/2020

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
09/25/2020 - 06/24/2024 LPL FINANCIAL LLC (CRD#:6413) FORT MILL, SC
IA
06/01/2009 - 10/02/2020 MORGAN STANLEY (CRD#:149777) MILWAUKEE, WI
B
06/01/2009 - 10/02/2020 MORGAN STANLEY (CRD#:149777) MILWAUKEE, WI
IA
11/14/2007 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MILWAUKEE, WI
B
11/14/2007 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MILWAUKEE, WI
B
11/06/2000 - 11/21/2007 UBS FINANCIAL SERVICES INC. (CRD#:8174) MILWAUKEE, WI
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
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.