Richard L. 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.
Richard L Shapiro was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1999. Richard had worked at 8 firms and has passed the SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 2013 - October 4, 2016
CETERA INVESTMENT ADVISERS LLC
May 23, 2013 - October 4, 2016
CETERA FINANCIAL SPECIALISTS LLC
March 30, 2012 - June 3, 2013
NEW ENGLAND SECURITIES
July 1, 2008 - April 3, 2012
CETERA INVESTMENT ADVISERS LLC
June 27, 2008 - April 3, 2012
CETERA FINANCIAL SPECIALISTS LLC
March 31, 2008 - July 3, 2008
VALMARK ADVISERS, INC.
March 14, 2008 - July 3, 2008
VALMARK SECURITIES, INC.
July 9, 2004 - April 9, 2008
CETERA INVESTMENT ADVISERS LLC
June 10, 2004 - April 9, 2008
CETERA FINANCIAL SPECIALISTS LLC
September 3, 2003 - October 29, 2004
HOCHMAN & BAKER INVESTMENT ADVISORY SERVICES, INC.
August 20, 2003 - September 15, 2004
HOCHMAN & BAKER SECURITIES, INC.
November 23, 1999 - August 13, 2003
CPA FINANCIAL ADVISERS, 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
Exams
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
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.
