Brian I. Shapiro
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.
Brian Ira Shapiro was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1997. Brian had worked at 12 firms and has passed the Series 66, Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 18, 2012 - March 21, 2013
LEGEND ADVISORY, LLC
April 15, 2011 - March 21, 2013
LEGEND EQUITIES CORPORATION
February 4, 2009 - July 27, 2009
AXCELUS FINANCIAL DISTRIBUTION COMPANY
April 26, 2007 - February 4, 2009
VP DISTRIBUTORS LLC
May 17, 2006 - April 18, 2007
ASHTON STEWART & CO., INC.
August 24, 2005 - November 29, 2005
RYDEX ADVISORY SERVICES, LLC
July 15, 2004 - November 29, 2005
GUGGENHEIM DISTRIBUTORS, LLC
April 25, 2001 - August 5, 2003
NATIONAL PLANNING CORPORATION
March 10, 2000 - August 4, 2003
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
September 27, 1999 - February 22, 2000
CITICORP INVESTMENT SERVICES
August 3, 1999 - September 17, 1999
WELLS FARGO SECURITIES INC.
July 15, 1997 - August 19, 1999
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LEGEND ADVISORY, LLC
CRD#: 104761 / SEC#: 801-13887
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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