Steven Arthur Shapiro
Professional Summary
Steven Arthur Shapiro is a registered financial advisor currently at SF INVESTMENTS, INC. located in Highland Park, Illinois. Steven is registered as a RR (Registered Representative) and started their career in finance in 1991. Steven has worked at 1 firm and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7 and Series 24 exams.
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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COUNTRY CAPITAL MANAGEMENT COMPANY
THE DALA GROUP, LLC
ONEAMERICA SECURITIES, INC.
Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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
35 years in the financial services industry
Current & Past Employments
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Current Firm
SF INVESTMENT ADVISERS | SUCSY, FISCHER SECURITIES | SF INVESTMENTS, INC.
Contact Information
Main Address
799 Central Ave. Suite 350, Highland Park, IL 60035Mailing Address
799 Central Ave, Highland Park, IL 60035Phone Number
(847) 926-5700Established
Illinois since 05/09/1985Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (16 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DANIEL SHAPIRO GIFT TRUST | SHAREHOLDER - TRUSTEE IS A CONTOL PERSON; NON -VOTING SHARES | — |
| LESLEY SHAPIRO BEIDER GIFT TRUST | SHAREHOLDER - TRUSTEE IS NOT A CONTROL PERSON; NON-VOTING SHARES | — |
| STEVEN SHAPIRO GIFT TRUST | SHAREHOLDER - TRUSTEE IS A CONTROL PERSON; NON-VOTING SHARES | — |
| JUST, GARY ALAN | CHIEF FINANCIAL OFFICER/FINANCIAL AND OPERATIONS PRINCIPAL, CHIEF COMPLIANCE OFFICER | 2101902 |
| SHAPIRO BEIDER, LESLEY E | TRUSTEE LESLEY SHAPIRO BEIDER GIFT TRUST | — |
| SHAPIRO, DANIEL MARK | CEO, TRUSTEE OF DANIEL SHAPIRO GIFT TRUST | 1989147 |
| SHAPIRO, STEVEN ARTHUR | VICE PRESIDENT/CHIEF INVESTMENT OFFICER, TRUSTEE STEVEN SHAPIRO GIFT TRUST | 2153746 |
Disclosures
Regulatory Event
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(11/9/2001)
(8/12/1991)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Apr 2000SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Steven Arthur Shapiro's CRS (Customer Relationship Summary).
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