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Evan Shifley
EVAN R SHIFLEY, Evan Richard Shifley
CRD#: 6154328
IA
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 1 BEACON ST FL 21
BOSTON, MA 02108
BOSTON, MA 02108
0
Disclosures
8
Years of Experience
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State Registrations
B
Colorado 11/21/2024
B
New Hampshire 9/20/2024
B
Connecticut 9/10/2024
B
New Jersey 11/26/2024
B
Louisiana 1/31/2024
B
New York 4/13/2023
B
Maine 8/9/2023
B
Pennsylvania 12/11/2023
B
Massachusetts 2/17/2023
B
Rhode Island 4/24/2023
IA
Massachusetts 2/27/2023
B
Texas 10/4/2024
B
Michigan 4/24/2023
B
Wyoming 3/8/2024
B
Mississippi 7/11/2024
SRO Registrations
B
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IA
Registered with this firm since 2/27/2023
B
Registered with this firm since 2/17/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/14/2021 - 02/01/2023 | Boston, MA | |
B | 08/23/2021 - 02/01/2023 | BOSTON, MA | |
B | 07/06/2020 - 08/26/2021 | BOSTON, MA | |
B | 11/05/2015 - 06/03/2019 | BOSTON, MA |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.