Andrew J. Shapiro

LUCID CAPITAL MARKETS

New York, NY 10006

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CRD#: 1104658

Professional summary

Andrew Jay Shapiro is a registered financial professional 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.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew Jay Shapiro's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 12, 2025 - Present

LUCID CAPITAL MARKETS, LLC

Office #1: One Liberty Plaza 7th Floor, Suite 701, New York, NY 10006

CRD#: 140345

New York, NY

Past

August 11, 2021 - March 7, 2025

DINOSAUR FINANCIAL GROUP, L.L.C

CRD#: 104446

NEW YORK, NY

Past

October 19, 2010 - August 9, 2021

LEK SECURITIES CORPORATION

CRD#: 33135

NEW CITY, NY

Past

August 13, 2004 - October 11, 2010

WESTROCK ADVISORS, INC.

CRD#: 114338

NEW YORK, NY

Past

February 20, 2003 - May 21, 2004

WESTROCK ADVISORS, INC.

CRD#: 114338

NEW YORK, NY

Past

January 2, 2002 - February 19, 2003

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

June 23, 1999 - January 2, 2002

PRIME CHARTER LTD.

CRD#: 25668

NEW YORK, NY

Past

April 1, 1996 - July 6, 1999

ADVEST, INC.

CRD#: 10

HARTFORD, CT

Past

June 26, 1992 - April 22, 1996

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

March 21, 1990 - July 1, 1992

FINANCIAL SQUARE PARTNERS

CRD#: 1541

NEW YORK, NY

Past

April 26, 1988 - March 23, 1990

SLOATE, WEISMAN, MURRAY & COMPANY, INC.

CRD#: 6655

NEW YORK, NY

Past

April 10, 1985 - May 20, 1988

CIBC WORLD MARKETS CORP.

CRD#: 630

Past

March 22, 1983 - April 8, 1985

MORGAN STANLEY DW INC.

CRD#: 7556

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(6/16/2025)

Exams

State Security Law Exam

IAR

Series 65

Date: 6/19/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/28/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 5

Date: 9/24/1984

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 3/19/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 4

Date: 3/31/2005

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/19/2004

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

LUCID CAPITAL MARKETS, LLC

CRD#: 140345 / SEC#: , 8-67305

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

New York Stock Exchange 11 Wall Street Pod-p, New York, NY 10005

Mailing Address

C/o Accounting & Compliance International 199 Water Street 9th Floor, New York, NY, 10038

Phone number

(212) 306-2700

Established

New York since 06/15/2015

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (25 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
GI4 HOLDINGS, LLC	SOLE PROPRIETOR
IANNONE, JOHN VINCENT JR.	CHIEF FINANCIAL OFFICER AND OPERATIONS PRINCIPAL	1616912
SHAPIRO, ANDREW JAY	CHIEF COMPLIANCE OFFICER	1104658
TANIOS, FADY	CEO	4213894
YANNOTTI, ALEXANDER ANTHONY	FINANCIAL OPERATIONS PRINCIPAL	1333893

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Andrew J. Shapiro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew Jay Shapiro's CRS (Customer Relationship Summary).

Certified licenses

Experience

DINOSAUR FINANCIAL GROUP, L.L.C

LEK SECURITIES CORPORATION

WESTROCK ADVISORS, INC.

WESTROCK ADVISORS, INC.

OPPENHEIMER & CO. INC.

PRIME CHARTER LTD.

ADVEST, INC.

CIBC WORLD MARKETS CORP.

FINANCIAL SQUARE PARTNERS

SLOATE, WEISMAN, MURRAY & COMPANY, INC.

CIBC WORLD MARKETS CORP.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/19/2002

Series 63

Date: 3/28/1983

Series 79TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 5

Date: 9/24/1984

Series 7

Date: 3/19/1983

Series 14

Date: 1/2/2023

Series 4

Date: 3/31/2005

Series 24

Date: 11/19/2004

FINRA

NYSE American LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

LUCID CAPITAL MARKETS, LLC

Contact information

FINRA licenses (25 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

LUCID CAPITAL MARKETS, LLC

TRUST BUT VERIFY

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