Kenneth B. Shapiro

SHAPIRO FINANCIAL SECURITY GROUP

HAZLET, NJ 07730

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CRD#: 2048726

Professional summary

Kenneth Bart Shapiro, CFP®, who also goes by Kenneth Shapiro, is a registered financial advisor currently at SHAPIRO FINANCIAL SECURITY GROUP, INC. located in Hazlet, New Jersey.

Kenneth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Kenneth has worked at 1 firm and has passed the Series 2 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kenneth Shapiro

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.

ACCOUNTING FIRM

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Bart Shapiro's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 1987

Experience

Current

October 23, 2002 - Present

SHAPIRO FINANCIAL SECURITY GROUP, INC.

Office #1: 1 Bethany Road Suite 80, Hazlet, NJ 07730

RIA

CRD#: 120801

HAZLET, NJ

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".

SHAPIRO FINANCIAL SECURITY GROUP, INC.

KENNETH B. SHAPIRO & COMPANY, INC. | SHAPIRO FINANCIAL SECURITY GROUP, INC.

CRD#: 120801 / SEC#: 801-121063

RIA

Registered Investment Advisory firm - (5/4/2021 Approved)

New Jersey

Registered Investment Advisory firm - (6/22/2021 Terminated)

New York

Registered Investment Advisory firm - (5/12/2021 Terminated)

Texas

Registered Investment Advisory firm - (3/17/2008 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

New Jersey
(10/23/2002)

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.

Exams

General Industry/Product Exam

Series 2

Date: 3/22/1990

Non-Member General Securities Examination

Current Firm

SHAPIRO FINANCIAL SECURITY GROUP, INC.

KENNETH B. SHAPIRO & COMPANY, INC. | SHAPIRO FINANCIAL SECURITY GROUP, INC.

CRD#: 120801 / SEC#: 801-121063

RIA

Registered Investment Advisory firm - (5/4/2021 Approved)

New Jersey

Registered Investment Advisory firm - (6/22/2021 Terminated)

New York

Registered Investment Advisory firm - (5/12/2021 Terminated)

Texas

Registered Investment Advisory firm - (3/17/2008 Terminated)

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Contact information

Main Address

1 Bethany Road Building 6, Suite 90, Hazlet, NJ 07730

Mailing Address

Phone number

(732) 739-8991

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2024 ADV BROCHURE (3/27/2025)

2025 ADV BROCHURE (3/27/2025)

2023 ADV PART 2 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	526
AUM (Assets Under Management)	$ 131,191,478

Red Flags

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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Kenneth B. Shapiro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Bart Shapiro's CRS (Customer Relationship Summary).

Certified licenses

Experience

SHAPIRO FINANCIAL SECURITY GROUP, INC.

Primary Firm SEC Registration

SHAPIRO FINANCIAL SECURITY GROUP, INC.

State Registrations and Notice Filings

Exams

Series 2

Date: 3/22/1990

Current Firm

SHAPIRO FINANCIAL SECURITY GROUP, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SHAPIRO FINANCIAL SECURITY GROUP, INC.

TRUST BUT VERIFY

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