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Robert Ira Shapiro

CRD# 420115·Registered 1972 - 2023

Previously Registered: Being a previously registered professional could mean that Robert 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.

Professional Summary

Robert Ira Shapiro was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 1972 - 2023. Robert had worked at 13 firms and has passed the Series 65, Series 63, Series 79TO, Series 7TO, SIE, Series 1, Series 24 and Series 40 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

54 years in the financial services industry

Current & Past Employments

PELION INVESTMENT ADVISORS, INC.·CRD# 138400

RIA

New York, NY

April 25, 2023 - September 18, 2023

CARVER EDISON CAPITAL, LLC·CRD# 315151

BD

New York, NY

November 21, 2022 - September 18, 2023

PELION INVESTMENT ADVISORS, INC.·CRD# 138400

RIA

New York, NY

July 27, 2021 - April 17, 2023

PELION INVESTMENT ADVISORS, INC.·CRD# 138400

RIA

New York, NY

January 27, 2016 - December 31, 2017

PELION INVESTMENT ADVISORS, INC.·CRD# 138400

RIA

New York, NY

June 6, 2013 - December 31, 2015

FIRST LIBERTIES FINANCIAL·CRD# 14432

BD

New York, NY

March 18, 2010 - September 18, 2023

AVANZA CAPITAL MARKETS INC.·CRD# 103941

BD

New York, NY

August 8, 2008 - August 4, 2010

REFCO SECURITIES, LLC·CRD# 14094

BD

New York, NY

March 29, 2006 - March 23, 2007

TIMECAPITAL SECURITIES CORPORATION·CRD# 6845

BD

Port Jefferson Station, NY

April 7, 2003 - March 22, 2006

COLEMAN & COMPANY SECURITIES, INC.·CRD# 1486

BD

New York, NY

October 26, 2000 - January 29, 2003

ASSET ALLOCATION SECURITIES CORP.·CRD# 25287

BD

Tarrytown, NY

January 26, 1999 - April 19, 2002

LEHMAN GOVERNMENT SECURITIES INC.·CRD# 19655

BD

May 20, 1991 - October 23, 1995

LEHMAN GOVERNMENT SECURITIES INC.·CRD# 19655

BD

March 20, 1990 - August 31, 1990

LEHMAN BROTHERS INC.·CRD# 7506

BD

New York, NY

June 26, 1984 - January 13, 1997

LEHMAN BROTHERS KUHN LOEB INCORPORATED·CRD# 7555

BD

February 22, 1978 - June 27, 1984

LEHMAN SPECIAL SECURITIES INC.·CRD# 7242

BD

September 1, 1976 - July 18, 1994

LEHMAN BROTHERS INCORPORATED·CRD# 514

BD

June 6, 1972 - February 22, 1978

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Current Firm

PI

PELION INVESTMENT ADVISORS, INC.

PELION INVESTMENT ADVISORS, INC.

CRD#: 138400 / SEC#: 801-66276

RIA

Registered Investment Advisory firm - SEC (12/21/2012 Terminated)

Connecticut

Registered Investment Advisory firm - Connecticut (5/17/2023 Terminated)

New York

Registered Investment Advisory firm - New York (4/18/2023 Terminated)

North Carolina

Registered Investment Advisory firm - North Carolina (12/31/2015 Failure to Renew)

Texas

Registered Investment Advisory firm - Texas (6/21/2021 Approved)

Wisconsin

Registered Investment Advisory firm - Wisconsin (1/15/2019 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

2915 N. Boulevard Suite A, Tampa, FL 33602

Phone Number

(917) 639-5451

# of Employees

3

Documents

Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

43

AUM (Assets Under Management)

$61,628,872

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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.

Mr. Shapiro is CFO at Pelion Financial Group ("PFG"), a holding company located in Dallas, Texas. The subsidiaries of PFG are involved in investment related business. The firms and Mr. Shapiro's roles are Managing Director of First Liberties Financial ("FLF"), a registered broker-dealer and President of Pelion Investment Advisors, Inc. ("PIA"), a state registered investment adviser. Mr. Shapiro spends approximately 96 hours in activities pertaining to FLF, and 5 hours per month on business pertaining to each of PFG and PIA, some of which are during trading hours.

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State Registrations and Notice Filings

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

This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Sep 2012About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 2000About the Series 63 exam

Series 79TO — Investment Banking Registered Representative Examination

Passed Jan 2023About the Series 79TO exam

Series 7TO — General Securities Representative Examination

Passed Jan 2023About the Series 7TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 1 — Registered Representative Examination

Passed Jun 1972

Series 24 — General Securities Principal Examination

Passed Jan 2023About the Series 24 exam

Series 40 — Registered Principal Examination

Passed Jun 1976

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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RS

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