Brian I. 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.
Brian Ira Shapiro, who also goes by Brian I Shapiro, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1989. Brian had worked at 12 firms and has passed the Series 65, Series 63, Series 7, Series 10, Series 9 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
April 12, 2012 - November 6, 2012
BEDMINSTER FINANCIAL GROUP, LIMITED
May 1, 2009 - April 16, 2010
SOURCE CAPITAL GROUP, INC.
January 18, 2008 - April 16, 2010
SOURCE CAPITAL GROUP, INC.
May 1, 2006 - October 8, 2007
RBC CAPITAL MARKETS CORPORATION
April 5, 2005 - October 8, 2007
RBC CAPITAL MARKETS, LLC
June 14, 1999 - March 24, 2005
FHN FINANCIAL SECURITIES CORP.
April 22, 1997 - June 19, 1998
HSBC SECURITIES (USA) INC.
October 11, 1995 - November 5, 1996
NATWEST SECURITIES CORPORATION
February 21, 1994 - October 5, 1995
NATWEST INTERNATIONAL SECURITIES INC.
September 30, 1993 - January 20, 1994
DEUTSCHE BANK SECURITIES INC.
May 3, 1993 - September 30, 1993
DEUTSCHE BANK CAPITAL CORPORATION
June 27, 1991 - September 30, 1993
DEUTSCHE BANK GOVERNMENT SECURITIES, INC
May 23, 1989 - June 11, 1991
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BEDMINSTER FINANCIAL GROUP, LIMITED
CRD#: 39916 / SEC#: , 8-48909
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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