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Vadim S. Shapiro

Some features on this profile are disabled
CRD#: 2562368
VS

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

Are you a "fiduciary"?
No

Aliases

Vadim Shapiro

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

October 1, 1999 - July 2, 2001

NORTHRIDGE CAPITAL CORPORATION

BD
CRD#: 16467
MELVILLE, NY
Past

February 26, 1999 - October 13, 1999

ZEUS FINANCIAL, LLC

BD
CRD#: 18192
BOCA RATON, FL
Past

December 8, 1998 - February 18, 1999

MILESTONE FINANCIAL SERVICES, INC.

BD
CRD#: 43295
BOHEMIA, NY
Past

March 21, 1998 - August 3, 1998

HORNBLOWER & WEEKS, INC.

BD
CRD#: 4683
NEW YORK, NY
Past

January 28, 1998 - March 18, 1998

HOBBS MELVILLE SECURITIES CORP.

BD
CRD#: 40133
NEW YORK, NY
Past

February 22, 1996 - January 6, 1998

GLOBAL EQUITIES GROUP INC

BD
CRD#: 34039
NEW YORK, NY
Past

January 27, 1995 - March 25, 1996

KENSINGTON WELLS INCORPORATED

BD
CRD#: 30570

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: 2/16/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/26/1995
General Securities Representative Examination

Current Firm

NC
NORTHRIDGE CAPITAL CORPORATION
CONCOURSE CAPITAL CORPORATION | PRICE FINANCIAL SERVICES/SECURITIES, INC. | PRICE FINANCIAL SERVICES/SECURITIES INCORPORATED | PRICE FINANCIAL SERVICES/SECURITIES | PRICE FINANCIAL SERVICES | NORTHRIDGE CAPITAL CORPORATION | JODOIN, BROWN & CO., INCORPORATED

CRD#: 16467 / SEC#: , 8-36544

BD
Cancelled by SEC on 11/30/2001
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Contact information

Main Address
Mailing Address
Phone number
Established
Georgia since 11/06/1992
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
KEYSTONE CAPITAL CORPORATIONOWNER
ALFONSO, JULIAN LUISFNOP1801087
NEGUS, ANTHONY JOHNSROP, CROP,1060809
PERSHING, LORI JOSECRETARY2200979
WEINER, MICHAEL SCOTTPRESIDENT/COMPLIANCE OFFICER2214982

Disclosures

Regulatory Event9
Arbitration1

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

NORTHRIDGE CAPITAL CORPORATION

CRD#: 16467

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