Alexander M. 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.
Alexander M Shapiro was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 1996. Alexander had worked at 5 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 2004 - April 18, 2005
GUNNALLEN FINANCIAL, INC
February 27, 2003 - November 5, 2004
NATIONAL SECURITIES CORPORATION
May 25, 2001 - February 12, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 14, 1999 - June 1, 2001
JOSEPHTHAL & CO., INC.
May 9, 1996 - November 4, 1998
PFS INVESTMENTS 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
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
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.
