Daniel Mark Shapiro
Professional Summary
Daniel Mark Shapiro is a registered financial advisor currently at NEW VERNON WEALTH MANAGEMENT LLC located in Highland Park, Illinois and SF INVESTMENTS, INC. located in Highland Park, Illinois. Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Daniel has worked at 2 firms and has passed the Series 65, Series 63, Series 52TO, Series 79TO, Series 57TO, Series 99TO, SIE, Series 55,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
32 years in the financial services industry
Current & Past Employments
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Current Firm
NEW VERNON WEALTH MANAGEMENT LLC
Contact Information
Main Address
799 Central Ave Suite 350, Highland Park, IL 60035Phone Number
(847) 926-5700# of Employees
8SEC notice filing (7 States and Territories)
Registered to provide investment advisory services in 7 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
443AUM (Assets Under Management)
$781,005,254Similar Advisors
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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.
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Primary Firm SEC Registration
NEW VERNON WEALTH MANAGEMENT LLC
State Registrations and Notice Filings
(1/17/2014)
(2/28/2003)
(1/23/2014)
(3/6/2024)
(1/24/1997)
(12/15/1994)
(3/27/2013)
(12/15/1994)
(4/16/2004)
(3/28/2023)
(9/27/2004)
(9/27/2004)
(5/17/2024)
(12/16/2005)
(3/27/2013)
(5/10/2023)
(12/6/2018)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Sep 2025About the Series 52TO examSeries 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Nov 1999SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Daniel Mark Shapiro's CRS (Customer Relationship Summary).
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