DS
Daniel M. Shapiro
NEW VERNON WEALTH MANAGEMENT LLC
Highland Park, IL 60035
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CRD#: 1989147
DS
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, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
A MINORITY OWNER OF NEW VERNON INVESTMENT MANAGEMENT LLC (FORMERLY NAMED MILLENNIUM GROUP, LLC.) FORMED IN 1999(INVESTMENT RELATED), WHICH ACTS AS GENERAL PARTNER FOR SEVERAL PRIVATE FUNDS.; ALL ARE LOCATED AT 799 CENTRAL AVE. #350, HIGHLAND PARK, IL. 60035; PROVIDE GENERAL MANAGEMENT SERVICES INCLUDING SECURITIES ANALYSIS AND DEVOTE APPROXIMATELY 10 HOURS/WEEK DURING SECURITIES TRADING HOURS.*******************
NEW VERNON WEALTH MANAGEMENT; 799 CENTRAL AVE SUITE 350 HIGHLAND PARK, IL 60035; REGISTERED INVESTMENT ADVISOR; INVESTMENT RELATED; CEO/CCO/MANAGING MEMBER; JANUARY 2013; 90 HOURS PER MONTH; 4 HOURS PER DAY DURING TRADING HOURS. *********************
ISRAEL SPORTS CENTER FOR THE DISABLED; ONE NORTHFIELD PLAZA, SUITE 300 NORTHFIELD, IL 60093; BOARD OF DIRECTORS; NON-INVESTMENT RELATED; START DATE OF AUGUST 2017; 5-10 HOURS PER MONTH; 0-2 HOURS PER MONTH DURING TRADING HOURS. **************************
CAMP OJIBUA; 4040 OJIBUA DR. EAGLE RIVER, WI 54521; BOARD OF DIRECTORS; NON-INVESTMENT RELATED; START DATE OF AUGUST 2017; 5-10 HOURS PER MONTH; 0-2 HOURS PER MONTH DURING TRADING HOURS. *********************
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Mark Shapiro's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 27, 2013 - Present
NEW VERNON WEALTH MANAGEMENT LLC
Office #1: 799 Central Ave Suite 350, Highland Park, IL 60035RIA
CRD#: 164775
Highland Park, IL
Current
November 9, 1994 - Present
SF INVESTMENTS, INC.
Office #1: 799 Central Avenue, Suite 350, Highland Park, IL 60035BD
CRD#: 6564
Highland Park, IL
Past
March 2, 2006 - March 27, 2013
SF INVESTMENTS, INC.
RIA
CRD#: 6564
HIGHLAND PARK, IL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NV
NEW VERNON WEALTH MANAGEMENT LLC
NEW VERNON WEALTH MANAGEMENT LLC
CRD#: 164775 / SEC#: 801-77619
RIA
Registered Investment Advisory firm - (1/1/2013 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/17/2014)
RR
California(2/28/2003)
RR
Connecticut(1/23/2014)
RR
Delaware(3/6/2024)
RR
Florida(1/24/1997)
RR
Illinois(12/15/1994)
IAR
Illinois(3/27/2013)
RR
Indiana(12/15/1994)
RR
Maryland(4/16/2004)
RR
Nevada(3/28/2023)
RR
New Jersey(9/27/2004)
RR
New York(9/27/2004)
RR
South Dakota(5/17/2024)
RR
Texas(12/16/2005)
IAR
Texas(3/27/2013)
RR
Washington(5/10/2023)
RR
Wisconsin(12/6/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 11/23/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
NV
NEW VERNON WEALTH MANAGEMENT LLC
NEW VERNON WEALTH MANAGEMENT LLC
CRD#: 164775 / SEC#: 801-77619
RIA
Registered Investment Advisory firm - (1/1/2013 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
799 Central Ave Suite 350, Highland Park, IL 60035
Mailing Address
Phone number
(847) 926-5700
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 416 |
| AUM (Assets Under Management) | $ 627,902,105 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
NEW VERNON WEALTH MANAGEMENT LLC
CRD#: 164775Highland Park, IL 60035TRUST BUT VERIFY
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Contact information
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