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DS

David A. Shapiro

Some features on this profile are disabled
CRD#: 2835947
DS

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

David Allen Shapiro was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1996. David had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.

top-8-questions

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

December 14, 2009 - October 16, 2014

TD AMERITRADE, INC.

BD
CRD#: 7870
OAK BROOK, IL
Past

December 11, 2009 - October 16, 2014

TD AMERITRADE, INC.

RIA
CRD#: 7870
OAK BROOK, IL
Past

December 11, 2009 - October 16, 2014

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
OAK BROOK, IL
Past

July 6, 2006 - November 12, 2009

UVEST FINANCIAL SERVICES GROUP, INC.

RIA
CRD#: 13787
SKOKIE, IL
Past

July 6, 2006 - November 12, 2009

UVEST FINANCIAL SERVICES GROUP, INC.

BD
CRD#: 13787
SKOKIE, IL
Past

August 28, 2003 - July 12, 2006

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
SKOKIE, IL
Past

March 18, 2003 - May 28, 2003

VISION ASSET MANAGEMENT INC

RIA
CRD#: 110412
OAK BROOK, IL
Past

March 18, 2003 - April 29, 2003

VISION INVESTMENT SERVICES, INC.

BD
CRD#: 46609
ROSEMONT, IL
Past

October 19, 2001 - March 25, 2003

LASALLE FINANCIAL SERVICES, INC.

RIA
CRD#: 20373
CHICAGO, IL
Past

April 1, 1998 - March 25, 2003

LASALLE FINANCIAL SERVICES, INC.

BD
CRD#: 20373
CHICAGO, IL
Past

November 6, 1997 - April 1, 1998

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
LINCOLN, NE
Past

December 19, 1996 - November 25, 1997

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, 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
IAR
Series 65
Date: 12/27/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/23/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/16/2014
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 1/23/1997
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 12/17/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/18/2000
General Securities Principal Examination

Current Firm

TD AMERITRADE, INC.
TD AMERITRADE, INC.
TD AMERITRADE, INC. | WATERHOUSE SECURITIES, INC. | TD WATERHOUSE INVESTOR SERVICES, INC. | TD WATERHOUSE INVESTOR SERVICES, INC.

CRD#: 7870 / SEC#: 801-60469, 8-23395

BD
Terminated by SEC on 09/17/2024
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Contact information

Main Address
200 South 108th Avenue, Omaha, NE 68154
Mailing Address
Phone number
(800) 669-3900
Established
New York since 09/29/1978
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
5,840

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
TD AMERITRADE ONLINE HOLDINGS LLC.OWNER
KONOP, LYNN MARIECHIEF COMPLIANCE OFFICER - BD1216310
KOSTULIAS, JAMES ROBERTPRESIDENT3091009
STARR, JEFFREY HAROLDMANAGING DIRECTOR, OPERATIONS4700461
THOMPSON, AARON MARKCHIEF FINANCIAL OFFICER/FINOP6483170

Disclosures

Regulatory Event79
Civil Event1
Arbitration145

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

TD AMERITRADE, INC.

TD AMERITRADE, INC.

CRD#: 7870

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