Mitchel D. Shapiro
CETERA INVESTMENT ADVISERS LLC
PIKESVILLE, MD 21208
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CRD#: 1288816
Professional summary
Mitchel David Shapiro, CFP®, who also goes by Mitch Shapiro, Mitchell Shapiro, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Pikesville, Maryland and CETERA ADVISORS LLC located in Pikesville, Maryland.
Mitchel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Mitchel has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mitch Shapiro | Mitchell Shapiro
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.
(1) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 2/2017 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 POSITION/TITLE/RELATIONSHIP: AGENT BRIEF DESCRIPTION OF DUTIES: SELLING LIFE, HEALTH, DISABILITY, ANNUITIES, AND LONG TERM CARE (2) MDS INVESTMENTS, IRA-LLC, INVESTMENT RELATED, 8 RESERVOIR CIRCLE STE 200, BALTIMORE, MD 21208, LLC IRA, STARTED 03/2010, POSITION/TITLE/RELATIONSHIP: OWNER, APX 2 HOURS PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: CHECKBOOK IRA TO ORIGINATE SHORT TERM HARD MONEY LOANS TO THE PUBLIC AND INVEST IN REAL ESTATE PARTNERSHIPS; (3) NAME OF OTHER BUSINESS: SHAPIRO FINANCIAL ADVISORS SOUTH, LLC ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES ; START DATE: 02/2025; POSITION/TITLE/RELATIONSHIP: OWNER / FINANCIAL PROFESSIONAL ; APX NUMBER OF HOURS PER WEEK:40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: ADVISE CLIENTS ON FINANCIAL MATTERS ;
CRS (Client Relationship Summary) - RIA
Click below to view Mitchel David Shapiro's 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®
CFP®
Start date: 1984
Experience
Current
February 6, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1829 Reisterstown Road Ste 350, Pikesville, MD 21208RIA
CRD#: 105644
PIKESVILLE, MD
Current
January 2, 2004 - Present
CETERA ADVISORS LLC
Office #1: 1829 Reisterstown Road Ste 350, Pikesville, MD 21208BD
CRD#: 10299
PIKESVILLE, MD
Past
January 27, 2004 - May 7, 2007
SMART FINANCIAL ADVISORS, LLC
RIA
CRD#: 118006
BALTIMORE, MD
Past
January 2, 2004 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
TOWSON, MD
Past
January 1, 1999 - January 13, 2004
OSAIC WEALTH, INC.
RIA
CRD#: 23131
BALTIMORE, MD
Past
January 10, 1992 - January 13, 2004
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
October 20, 1989 - January 15, 1992
KEOGLER, MORGAN & COMPANY, INC.
BD
CRD#: 16546
ATLANTA, GA
Past
February 20, 1987 - March 24, 1987
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
Past
February 20, 1987 - March 24, 1987
LINCOLN NATIONAL PENSION INSURANCE COMPANY
BD
CRD#: 10293
Past
February 20, 1987 - March 24, 1987
OSAIC FA, INC.
BD
CRD#: 3978
Past
August 21, 1984 - November 1, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
California(1/3/2005)
RR
Colorado(2/6/2025)
RR
Delaware(3/26/2008)
RR
Florida(1/2/2004)
IAR
Florida(2/6/2024)
RR
Georgia(1/2/2004)
RR
Hawaii(11/13/2015)
RR
Illinois(1/4/2007)
RR
Maine(1/12/2021)
RR
Maryland(1/2/2004)
IAR
Maryland(3/21/2024)
RR
Missouri(10/6/2011)
RR
New Jersey(1/2/2004)
RR
New York(1/2/2004)
RR
North Carolina(1/2/2004)
RR
Pennsylvania(1/2/2004)
RR
South Carolina(1/2/2004)
RR
Texas(5/8/2020)
IAR
Texas(3/21/2024)
RR
Vermont(5/9/2007)
RR
Virginia(1/2/2004)
RR
West Virginia(6/3/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
