Scott D. Shapiro
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Scott David Shapiro, who also goes by David Shapiro, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1992. Scott had worked at 7 firms and has passed the Series 63, Series 65, Series 7, Series 52, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2011 - June 1, 2012
PORTFOLIO RESOURCES GROUP, INC.
June 1, 2009 - March 16, 2010
MORGAN STANLEY
June 1, 2009 - March 16, 2010
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 3, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
April 3, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
February 15, 2001 - March 17, 2006
EQUITABLE ADVISORS, LLC
February 22, 1995 - May 18, 1995
PRUDENTIAL EQUITY GROUP, LLC
August 21, 1992 - February 23, 1995
HOWE, SOLOMON & HALL, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PORTFOLIO RESOURCES GROUP, INC.
CRD#: 31155 / SEC#: , 8-45380
Contact information
FINRA licenses (27 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMEJO, ANTONIO NMN | SHAREHOLDER/DIRECTOR, PRESIDENT & CEO, CCO, GENERAL PRINCIPAL, MUNICIPAL PRINCIPAL | 1654246 |
| INVERSIONES SOSABAS | SHAREHOLDER | |
| MARAVER, JOSE MANUEL | SHAREHOLDER/DIRECTOR | 2307685 |
| BAQUERO DE JIMENEZ, NANCY JOSEFINA | FINOP, PFO, POO | 5583492 |
| SOSA, JUAN IGNACIO | DIRECTOR, COO, GENERAL PRINCIPAL, AML OFFICER, VA PRINCIPAL | 2599288 |
| VACA, MONICA TERESA | OPTIONS PRINCIPAL | 2135645 |
Disclosures
| Regulatory Event | 4 |
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.
