Michael S. Shapiro
Professional summary
Michael Stephen Shapiro, who also goes by Michael S Shapiro, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Albany, New York and CETERA WEALTH SERVICES, LLC located in Albany, New York.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Michael has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 62 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Michael Stephen Shapiro's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 200 Great Oaks Blvd Ste 221, Albany, NY 12203June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 200 Great Oaks Blvd Ste 221, Albany, NY 12203August 25, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
May 5, 2003 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
August 2, 2000 - May 7, 2003
WADDELL & REED
August 3, 1998 - July 27, 2000
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/2/2025)
(6/10/2021)
(6/9/2021)
(6/9/2021)
(6/25/2024)
(6/9/2021)
(6/29/2023)
(6/9/2021)
(10/11/2022)
(6/9/2021)
Exams
Series 62
Date: 7/15/2009
Corporate Securities Limited Representative ExaminationFINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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