Bret 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.
Bret Marc Shapiro was a registered financial professional .
Bret is a previously registered financial professional and started their career in finance in 1989. Bret had worked at 8 firms and has passed the Series 63, SIE, Series 7 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
February 7, 2008 - October 8, 2015
DAWSON JAMES SECURITIES, INC.
August 12, 2003 - February 8, 2008
CAPITAL GROWTH FINANCIAL, LLC
July 11, 2002 - October 22, 2002
OPPENHEIMER & CO. INC.
April 29, 2002 - July 18, 2002
RYAN BECK & CO.
July 9, 1997 - May 17, 2002
GRUNTAL & CO., L.L.C.
January 1, 1994 - July 25, 1997
PRUDENTIAL EQUITY GROUP, LLC
November 19, 1991 - December 7, 1993
GRUNTAL & CO., L.L.C.
August 28, 1990 - November 19, 1991
PRUDENTIAL EQUITY GROUP, LLC
April 20, 1990 - August 27, 1990
OSAIC WEALTH, INC.
November 21, 1989 - May 16, 1990
FIRST EAGLE, INC.
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
DAWSON JAMES SECURITIES, INC.
CRD#: 130645 / SEC#: , 8-66367
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 3 |
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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