Vadim S. Shapiro
Professional summary
Vadim Steve Shapiro was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Vadim is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Vadim had worked at 7 firms, which includes NORTHRIDGE CAPITAL CORPORATION, ZEUS FINANCIAL LLC, MILESTONE FINANCIAL SERVICES INC., HORNBLOWER & WEEKS INC., HOBBS MELVILLE SECURITIES CORP., GLOBAL EQUITIES GROUP INC, KENSINGTON WELLS INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 1999 - July 2, 2001
NORTHRIDGE CAPITAL CORPORATION
February 26, 1999 - October 13, 1999
ZEUS FINANCIAL, LLC
December 8, 1998 - February 18, 1999
MILESTONE FINANCIAL SERVICES, INC.
March 21, 1998 - August 3, 1998
HORNBLOWER & WEEKS, INC.
January 28, 1998 - March 18, 1998
HOBBS MELVILLE SECURITIES CORP.
February 22, 1996 - January 6, 1998
GLOBAL EQUITIES GROUP INC
January 27, 1995 - March 25, 1996
KENSINGTON WELLS INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
NORTHRIDGE CAPITAL CORPORATION
CRD#: 16467 / SEC#: , 8-36544
Contact information
Documents
Disclosures
| Regulatory Event | 9 |
| Arbitration | 1 |
Red Flags
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