Phillip Schapiro
Professional summary
Phillip Schapiro, who also goes by Phillip Neal Schapiro, is a registered financial professional currently at WELLS FARGO SECURITIES, LLC located in Concord, California.
Phillip is registered as a RR (Registered Representative) and started their career in finance in 2000. Phillip has worked at 4 firms and has passed the Series 66, Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Phillip Schapiro's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 4, 2026 - Present
WELLS FARGO SECURITIES, LLC
Office #1: 1655 Grant St., Concord, CA 94520February 17, 2004 - May 28, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 13, 2003 - May 28, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 17, 2000 - December 16, 2002
MORGAN STANLEY & CO. LLC
October 11, 2000 - October 25, 2000
PERSHING LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/4/2026)
(5/4/2026)
(5/4/2026)
(5/5/2026)
(5/4/2026)
(5/4/2026)
(5/4/2026)
Exams
Series 79TO
Date: 5/4/2026
Investment Banking Registered Representative ExaminationFINRA
Current Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
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
WELLS FARGO SECURITIES, LLC
CRD#: 126292Concord, CA 94520TRUST BUT VERIFY
Monitor Phillip Schapiro
Get automatic monthly alerts on:
