Martin A. Shapiro

BROOKWOOD INVESTMENT GROUP

Wilmington, NC

CRD#: 1386124

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Professional summary

Martin Aaron Shapiro, CFP®, ChFC®, CLU®, who also goes by Martin A Shapiro, is a registered financial advisor currently at BROOKWOOD INVESTMENT GROUP located in Wilmington, North Carolina.

Martin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Martin has worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Martin A 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Martin Aaron 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®

CFP^®

Certified Financial Planner

Start date: 1992

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

April 7, 2025 - Present

BROOKWOOD INVESTMENT GROUP

RIA

CRD#: 316544

Wilmington, NC

Past

February 24, 2022 - March 28, 2025

REDWOOD PRIVATE WEALTH

RIA

CRD#: 312942

WILMINGTON, NC

Past

November 29, 2017 - March 2, 2022

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

ORANGE, CA

Past

November 29, 2017 - March 2, 2022

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

ORANGE, CA

Past

December 21, 2015 - August 19, 2016

ARBOR POINT ADVISORS

RIA

CRD#: 165127

YORBA LINDA, CA

Past

February 11, 2015 - December 1, 2017

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

ORANGE, CA

Past

February 11, 2015 - December 1, 2017

SECURITIES AMERICA, INC.

CRD#: 10205

Orange, CA

Past

June 16, 1999 - February 12, 2015

FOOTHILL SECURITIES, INC.

CRD#: 1027

SAN DIEGO, CA

Past

November 13, 1992 - June 18, 1999

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

June 11, 1991 - November 20, 1992

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

March 23, 1988 - June 18, 1991

CINCINNATI ANALYSTS, INC.

CRD#: 5478

CINCINNATI, OH

Past

August 5, 1985 - May 17, 1988

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

Past

August 5, 1985 - May 18, 1988

EQUITABLE ADVISORS, LLC

CRD#: 6627

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".

BROOKWOOD INVESTMENT GROUP

CRD#: 316544 / SEC#: 801-122508

RIA

Registered Investment Advisory firm - (10/18/2021 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.

Highlighted states indicate IAR registrations

IAR

California
(2/20/2026)

IAR

North Carolina
(4/7/2025)

IAR

Texas
(2/20/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/12/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/18/1988

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 5/21/1987

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 8/2/1985

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 9/10/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/12/1991

General Securities Principal Examination

Current Firm

BROOKWOOD INVESTMENT GROUP

CRD#: 316544 / SEC#: 801-122508

RIA

Registered Investment Advisory firm - (10/18/2021 Approved)

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Contact information

Main Address

3930 E. Ray Road Suite 155, Phoenix, AZ 85044

Mailing Address

Phone number

(480) 646-3504

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (32 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BROOKWOOD INVESTMENT GROUP FIRM BROCHURE (4/1/2025)

Regulatory assets under management

Total Number of Accounts	6,200
AUM (Assets Under Management)	$ 1,064,198,265

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.

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Advisor Monitoring

Firm Stability Insights

Martin A. Shapiro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Martin Aaron Shapiro's CRS (Customer Relationship Summary).

Certified licenses

Experience

REDWOOD PRIVATE WEALTH

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

ARBOR POINT ADVISORS

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

FOOTHILL SECURITIES, INC.

MML INVESTORS SERVICES, LLC

LPL FINANCIAL LLC

CINCINNATI ANALYSTS, INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

BROOKWOOD INVESTMENT GROUP

State Registrations and Notice Filings

Exams

Series 63

Date: 9/12/1991

SIE

Date: 10/1/2018

Series 7

Date: 6/18/1988

Series 22

Date: 5/21/1987

Series 6

Date: 8/2/1985

Series 51

Date: 9/10/2003

Series 24

Date: 9/12/1991

Current Firm

BROOKWOOD INVESTMENT GROUP

Contact information

SEC notice filing (32 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BROOKWOOD INVESTMENT GROUP

TRUST BUT VERIFY

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