Andrew Jay Shapiro
Professional Summary
Andrew Jay Shapiro is a registered financial advisor currently at LUCID CAPITAL MARKETS, LLC located in New York, New York. Andrew is registered as a RR (Registered Representative) and started their career in finance in 1983. Andrew has worked at 11 firms and has passed the Series 65, Series 63, Series 79TO, Series 57TO, Series 99TO, SIE, Series 5, Series 7, Series 14, Series 4 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures on record.
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Years of Experience
43 years in the financial services industry
Current & Past Employments
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Current Firm
AMERICAS EXECUTIONS | SURKIS, BARRY NMN | SURKIS, BARRY | SURKIS INCORPORATED | LUCID CAPITAL MARKETS, LLC | LUCID CAPITAL MARKETS LLC. | LUCID CAPITAL MARKETS | AMERX | AMERICAS EXECUTIONS, LLC | AMERICAS EXECUTIONS, INC.
Contact Information
Main Address
New York Stock Exchange 11 Wall Street Pod-p, New York, NY 10005Mailing Address
C/o Accounting & Compliance International 199 Water Street 9th Floor, New York, NY, 10038Phone Number
(212) 306-2700Established
New York since 06/15/2015Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (27 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(11/19/2025)
(11/18/2025)
(6/16/2025)
(3/17/2026)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 5 — Interest Rate Options Examination
Passed Sep 1984SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Andrew Jay Shapiro's CRS (Customer Relationship Summary).
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