David H. Shapiro
Professional summary
David Harris Shapiro was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, David had worked at 3 firms, which includes AGS FINANCIAL SERVICES INC., FIRST UNITED EQUITIES CORPORATION, A. R. BARON & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 1996 - June 25, 1997
AGS FINANCIAL SERVICES, INC.
September 13, 1995 - August 6, 1996
FIRST UNITED EQUITIES CORPORATION
March 20, 1995 - October 4, 1995
A. R. BARON & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
AGS FINANCIAL SERVICES, INC.
CRD#: 38006 / SEC#: , 8-48040
Contact information
Documents
Red Flags
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