Robert I. Shapiro

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CRD#: 420115

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.

Robert Ira Shapiro was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1972. 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.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

April 25, 2023 - September 18, 2023

PELION INVESTMENT ADVISORS, INC.

RIA

CRD#: 138400

New York, NY

Past

November 21, 2022 - September 18, 2023

CARVER EDISON CAPITAL, LLC

CRD#: 315151

New York, NY

Past

July 27, 2021 - April 17, 2023

PELION INVESTMENT ADVISORS, INC.

RIA

CRD#: 138400

New York, NY

Past

January 27, 2016 - December 31, 2017

PELION INVESTMENT ADVISORS, INC.

RIA

CRD#: 138400

NEW YORK, NY

Past

June 6, 2013 - December 31, 2015

PELION INVESTMENT ADVISORS, INC.

RIA

CRD#: 138400

NEW YORK, NY

Past

March 18, 2010 - September 18, 2023

FIRST LIBERTIES FINANCIAL

CRD#: 14432

NEW YORK, NY

Past

August 8, 2008 - August 4, 2010

AVANZA CAPITAL MARKETS INC.

CRD#: 103941

NEW YORK, NY

Past

March 29, 2006 - March 23, 2007

REFCO SECURITIES, LLC

CRD#: 14094

NEW YORK, NY

Past

April 7, 2003 - March 22, 2006

TIMECAPITAL SECURITIES CORPORATION

CRD#: 6845

PORT JEFFERSON STATION, NY

Past

October 26, 2000 - January 29, 2003

COLEMAN & COMPANY SECURITIES, INC.

CRD#: 1486

NEW YORK, NY

Past

January 26, 1999 - April 19, 2002

ASSET ALLOCATION SECURITIES CORP.

CRD#: 25287

TARRYTOWN, NY

Past

May 20, 1991 - October 23, 1995

LEHMAN GOVERNMENT SECURITIES INC.

CRD#: 19655

Past

March 20, 1990 - August 31, 1990

LEHMAN GOVERNMENT SECURITIES INC.

CRD#: 19655

Past

June 26, 1984 - January 13, 1997

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

February 22, 1978 - June 27, 1984

LEHMAN BROTHERS KUHN LOEB INCORPORATED

CRD#: 7555

Past

September 1, 1976 - July 18, 1994

LEHMAN SPECIAL SECURITIES INC.

CRD#: 7242

Past

June 6, 1972 - February 22, 1978

LEHMAN BROTHERS INCORPORATED

CRD#: 514

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/11/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/20/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 6/5/1972

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal Examination

Principal/Supervisory Exam

Series 40

Date: 6/3/1976

Registered Principal Examination

Current Firm

PELION INVESTMENT ADVISORS, INC.

CRD#: 138400 / SEC#: 801-66276

RIA

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

Connecticut

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

New York

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

North Carolina

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

Texas

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

Wisconsin

Registered Investment Advisory firm - (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).

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Contact information

Main Address

2915 N. Boulevard Suite A, Tampa, FL 33602

Mailing Address

Phone number

(917) 639-5451

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	43
AUM (Assets Under Management)	$ 58,880,219

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Robert I. Shapiro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CARVER EDISON CAPITAL, LLC

PELION INVESTMENT ADVISORS, INC.

PELION INVESTMENT ADVISORS, INC.

PELION INVESTMENT ADVISORS, INC.

FIRST LIBERTIES FINANCIAL

AVANZA CAPITAL MARKETS INC.

REFCO SECURITIES, LLC

TIMECAPITAL SECURITIES CORPORATION

COLEMAN & COMPANY SECURITIES, INC.

ASSET ALLOCATION SECURITIES CORP.

LEHMAN GOVERNMENT SECURITIES INC.

LEHMAN GOVERNMENT SECURITIES INC.

LEHMAN BROTHERS INC.

LEHMAN BROTHERS KUHN LOEB INCORPORATED

LEHMAN SPECIAL SECURITIES INC.

LEHMAN BROTHERS INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 9/11/2012

Series 63

Date: 12/20/2000

Series 79TO

Date: 1/2/2023

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 6/5/1972

Series 24

Date: 1/2/2023

Series 40

Date: 6/3/1976

Current Firm

PELION INVESTMENT ADVISORS, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PELION INVESTMENT ADVISORS, INC.

TRUST BUT VERIFY

Contact information

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