Derek H Shapiro
Professional Summary
Derek H Shapiro was a registered financial advisor. Derek was a previously registered financial professional and started their career in finance 1998 - 1998. Derek had worked at 1 firm and has passed the Series 62 exam.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
28 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
FIRST LIBERTY INVESTMENT GROUP, INC. | LIBERTY INVESTMENT GROUP | LEON H. SULLIVAN, INC.
Contact Information
Established
Pennsylvania since 08/11/1958Firm Type
CorporationFiscal Year End
AugustDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST COMMONWEALTH INV. GRP | OWNER | — |
| EMINENTE, CHRISTIAN LUCIANO | EXEC. VP | 2109308 |
Disclosures
Regulatory Event
15Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 62 — Corporate Securities Limited Representative Examination
Passed Mar 1998Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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