Robert B. 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.
Robert Barry Shapiro, who also goes by Robert Shapiro, XXx Xxx, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1987. Robert had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 12, 2018 - November 21, 2019
THE LEADERS GROUP, INC.
June 25, 2018 - August 27, 2018
NYLIFE SECURITIES LLC
August 11, 2010 - November 25, 2016
BLOOMBERG TRADEBOOK LLC
January 5, 2010 - June 7, 2010
INVESCO CAPITAL MARKETS, INC.
February 20, 2007 - August 10, 2010
MORGAN STANLEY DISTRIBUTION, INC.
June 23, 2006 - January 23, 2007
ABEL/NOSER CORP.
March 16, 2001 - September 20, 2004
IAM CAPITAL CORPORATION
June 26, 1998 - June 1, 1999
SEB SECURITIES, INC.
March 28, 1997 - May 21, 1998
VAN LANSCHOT KEMPEN (USA) INC.
August 18, 1987 - April 1, 1997
NATIXIS SECURITIES AMERICAS LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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