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SS

Steven A. Shapiro

SF INVESTMENTS
Highland Park, IL 60035
Some features on this profile are disabled
CRD#: 2153746
SS

Professional summary

Steven Arthur Shapiro is a registered financial professional 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven Arthur 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®
None

Experience

Current

July 17, 1991 - Present

SF INVESTMENTS, INC.

Office #1: 799 Central Avenue, Suite 350, Highland Park, IL 60035
BD
CRD#: 6564
Highland Park, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Florida
(11/9/2001)
RR
Illinois
(8/12/1991)

Exams

State Security Law Exam
RR
Series 63
Date: 8/6/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 4/12/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 7/16/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/14/2009
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SI
SF INVESTMENTS, INC.
SF INVESTMENT ADVISERS | SUCSY, FISCHER SECURITIES | SF INVESTMENTS, INC.

CRD#: 6564 / SEC#: 801-66533, 8-34069

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
799 Central Ave. Suite 350, Highland Park, IL 60035
Mailing Address
799 Central Ave, Highland Park, IL 60035
Phone number
(847) 926-5700
Established
Illinois since 05/09/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (16 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A: SF INVESTMENT ADVISERS (3/30/2012)

Direct owners and executive officers

NamePositionCRD#
DANIEL SHAPIRO GIFT TRUSTSHAREHOLDER - TRUSTEE IS A CONTOL PERSON; NON -VOTING SHARES
LESLEY SHAPIRO BEIDER GIFT TRUSTSHAREHOLDER - TRUSTEE IS NOT A CONTROL PERSON; NON-VOTING SHARES
STEVEN SHAPIRO GIFT TRUSTSHAREHOLDER - TRUSTEE IS A CONTROL PERSON; NON-VOTING SHARES
JUST, GARY ALANCHIEF FINANCIAL OFFICER/FINANCIAL AND OPERATIONS PRINCIPAL, CHIEF COMPLIANCE OFFICER2101902
SHAPIRO BEIDER, LESLEY ETRUSTEE LESLEY SHAPIRO BEIDER GIFT TRUST
SHAPIRO, DANIEL MARKCEO, TRUSTEE OF DANIEL SHAPIRO GIFT TRUST1989147
SHAPIRO, STEVEN ARTHURVICE PRESIDENT/CHIEF INVESTMENT OFFICER, TRUSTEE STEVEN SHAPIRO GIFT TRUST2153746

Disclosures

Regulatory Event4

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.

Company Information

SF INVESTMENTS, INC.

CRD#: 6564Highland Park, IL 60035

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