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DS

David A. Shapiro

CITY NATIONAL ROCHDALE
Davie, FL
Some features on this profile are disabled
CRD#: 2926594
DS

Professional summary

David Abraham Shapiro, CFA, who also goes by David A Shapiro, is a registered financial advisor currently at CITY NATIONAL ROCHDALE located in Davie, Florida and CNR SECURITIES, LLC located in New York, New York.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. David has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 86 and Series 87 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

David A 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.
(1) Name of Entity: Sierra Ranches Community Association Non-investment related Address of Entity: 1950 Hiatus Road, Davie, FL 33324 Nature of OBA: Home Owners Association Position/title/Relationship: Director Start Date: 02/14/23 Time devoted: 5 hours per month; 1 hour during securities trading hours Duties: Helping to direct the operations and finances of my homeowners association Duties:

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Abraham Shapiro's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFA

Chartered Financial Analyst

Experience

Current

October 15, 2014 - Present

CITY NATIONAL ROCHDALE

RIA
CRD#: 117198
Davie, FL
Current

August 4, 2014 - Present

CNR SECURITIES, LLC

Office #1: 400 Park Avenue 6th Floor, New York, NY 10022
BD
CRD#: 18466
NEW YORK, NY
Past

September 9, 2004 - April 26, 2006

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

October 20, 1998 - March 10, 2000

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

August 28, 1997 - November 3, 1998

DRESDNER KLEINWORT WASSERSTEIN, LLC

BD
CRD#: 22068
NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CN
CITY NATIONAL ROCHDALE
CITY NATIONAL ROCHDALE | ROCHDALE INVESTMENT MANAGEMENT LLC | ROCHDALE INVESTMENT MANAGEMENT | CITY NATIONAL ROCHDALE, LLC

CRD#: 117198 / SEC#: 801-27265

RIA
Registered Investment Advisory firm - (6/20/1986 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(10/15/2014)
IAR
California
(10/15/2014)
RR
Florida
(10/25/2022)
IAR
Florida
(5/12/2023)
IAR
New York
(4/5/2021)
RR
New York
(10/25/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/14/2014
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/13/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/4/2014
General Securities Representative Examination
General Industry/Product Exam
RR
Series 86
Date: 2/3/2005
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 12/17/2004
Research Analyst Exam - Part II Regulations Module
SRO Registrations
RR
FINRA

Current Firm

CN
CITY NATIONAL ROCHDALE
CITY NATIONAL ROCHDALE | ROCHDALE INVESTMENT MANAGEMENT LLC | ROCHDALE INVESTMENT MANAGEMENT | CITY NATIONAL ROCHDALE, LLC

CRD#: 117198 / SEC#: 801-27265

RIA
Registered Investment Advisory firm - (6/20/1986 Approved)
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Contact information

Main Address
400 Park Avenue 10th Floor, New York, NY 10022
Mailing Address
Phone number
(212) 702-3500
Established
Firm type
Fiscal year end
# of Employees
235

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CNR ADV PART 2A WRAP FEE BROCHURE - OCTOBER 28, 2025 (10/28/2025)
CNR ADV PART 2A BROCHURE - OCTOBER 28, 2025 (10/28/2025)

Regulatory assets under management

Total Number of Accounts41,300
AUM (Assets Under Management)$ 68,177,828,012

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/28/2025
Cover Page
Report
10/27/2023
Cover Page
Report

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

CITY NATIONAL ROCHDALE

CRD#: 117198Davie, FL

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