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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

DOUGLAS DEAN SHAFFER

Advisor at STIRLINGSHIRE INVESTMENTS

Toledo, OH | NEW YORK, NY

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Search this name across graphsid dfx:ria:fa4ea636-f69a-ee86-5b44-49ed9e1cdd74

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Jul 25, 2018 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: STIRLINGSHIRE INVESTMENTS
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jul 13, 2018
First registration: Jul 25, 2018
Dual registered: yes, broker-dealer
Other names: Douglas Dean Shaffer|DOUGLAS SHAFFER
IAPD individual key: 6822465

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
STIRLINGSHIRE INVESTMENTS	Independent wealth	Feb 20, 2024	n/a	yes	Toledo, OH\|NEW YORK, NY	Current employment
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Mar 14, 2022	Mar 12, 2024	no	INDEPENDENCE, OH\|INDEPENDENCE, OH	Previous registration
CUSO FINANCIAL SERVICES, L.P.	Former SEC adviser	May 14, 2020	Jan 24, 2022	no	Maumee, OH\|Cunningham, TN\|Maumee, OH	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jul 25, 2018	Mar 9, 2020	no	Perrysburg, OH\|Perrysburg, OH	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
VALIC FINANCIAL ADVISORS, INC.	STIRLINGSHIRE INVESTMENTS	Mar 12, 2024	Feb 20, 2024	-21	Firm change	Ibd to RIA
CUSO FINANCIAL SERVICES, L.P.	VALIC FINANCIAL ADVISORS, INC.	Jan 24, 2022	Mar 14, 2022	49	Firm change	Ibd to ibd
AMERIPRISE FINANCIAL SERVICES, LLC	CUSO FINANCIAL SERVICES, L.P.	Mar 9, 2020	May 14, 2020	66	Firm change	Ibd to ibd

Relationships

Registered with (4)

→ STIRLINGSHIRE INVESTMENTSRegistered adviserregistration: current employment
Feb 20, 2024 to presentfactForm ADV
→ VALIC FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Mar 14, 2022 to Mar 12, 2024factForm ADV
→ CUSO FINANCIAL SERVICES, L.P.Registered adviserregistration: previous registration
May 14, 2020 to Jan 24, 2022factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jul 25, 2018 to Mar 9, 2020factForm ADV

Dated events

Occurred
Mar 12, 2024
Advisor changed firm
Douglas Dean Shaffer left Valic Financial Advisors, Inc. for Stirlingshire Investments (registered 2024-02-20)
Form ADVobserved 5 days ago
Occurred
Jan 24, 2022
Advisor changed firm
Douglas Dean Shaffer left Cuso Financial Services, L.P. for Valic Financial Advisors, Inc. (registered 2022-03-14)
Form ADVobserved 5 days ago