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GS

Gerald M. Shapiro

Some features on this profile are disabled
CRD#: 2557923
GS

Professional summary

Gerald Mark Shapiro was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Gerald is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Gerald had worked at 2 firms, which includes C.A. ATLANTIC SECURITIES INC., NATHAN & LEWIS SECURITIES INC..

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 21, 1995 - November 18, 1996

C.A. ATLANTIC SECURITIES, INC.

BD
CRD#: 16358
BOSTON, MA
Past

March 8, 1995 - July 21, 1995

NATHAN & LEWIS SECURITIES, INC.

BD
CRD#: 8503
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/21/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/7/1995
General Securities Representative Examination

Current Firm

CA
C.A. ATLANTIC SECURITIES, INC.
C.A. ATLANTIC SECURITIES, INC. | CAPITAL OPTION & EQUITY TRADING, INC.

CRD#: 16358 / SEC#: , 8-33774

BD
Cancelled by SEC on 07/15/1998
PREMIUM
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Contact information

Main Address
Mailing Address
Phone number
Established
Massachusetts since 03/04/1985
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

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

C.A. ATLANTIC SECURITIES, INC.

CRD#: 16358

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