David M. Shapiro
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Michael Shapiro, who also goes by Dave Shapiro, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1986. David had worked at 13 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2023 - September 29, 2023
CETERA INVESTMENT ADVISERS LLC
November 1, 2017 - June 29, 2023
CETERA WEALTH SERVICES, LLC
November 1, 2017 - September 29, 2023
CETERA WEALTH SERVICES, LLC
April 12, 2011 - November 1, 2017
GIRARD SECURITIES, INC.
January 4, 2010 - November 1, 2017
GIRARD SECURITIES, INC.
July 31, 2009 - January 5, 2010
SORRENTO PACIFIC FINANCIAL, LLC
December 20, 2002 - July 31, 2009
PARTNERVEST SECURITIES, INC.
December 11, 1997 - January 13, 2003
SPELMAN & CO., INC.
March 29, 1995 - January 30, 1996
SENTRA SECURITIES CORPORATION
January 3, 1994 - January 13, 2003
SPELMAN & CO., INC.
April 15, 1993 - January 1, 1994
RAYMOND-MARTIN FINANCIAL INC.
August 16, 1991 - May 20, 1993
GRIFFIN FINANCIAL SERVICES
July 31, 1989 - August 20, 1991
SPELMAN & CO., INC.
February 7, 1989 - August 8, 1989
FINANCIAL WEST INVESTMENT GROUP
November 21, 1988 - February 11, 1989
EMMETT A LARKIN COMPANY, INC.
June 15, 1988 - November 21, 1988
FIRST AFFILIATED SECURITIES, INC.
May 23, 1986 - May 23, 1988
INTERFIRST CAPITAL CORPORATION
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
