Nathan G. 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.
Nathan George Shapiro was a registered financial professional .
Nathan is a previously registered financial professional and started their career in finance in 1964. Nathan had worked at 2 firms and has passed the PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 1974 - February 19, 1998
HERZOG, HEINE, GEDULD, LLC
January 10, 1964 - December 4, 1974
SINGER & MACKIE, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 7/1/1979
AMEX Put and Call ExamSeries 1
Date: 1/8/1964
Registered Representative ExaminationCurrent Firm
HERZOG, HEINE, GEDULD, LLC
CRD#: 2186 / SEC#: , 8-10463
Contact information
Documents
Disclosures
| Regulatory Event | 51 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
