Samuel R. 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.
Samuel Robert Shapiro was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1967. Samuel had worked at 6 firms and has passed the Series 63, Series 1, Series 4, Series 12 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 1989 - April 18, 1991
SHAPIRO, CARTER & COMPANY, INC.
September 9, 1977 - November 25, 1989
J.P. MORGAN SECURITIES LLC
March 17, 1976 - November 14, 1977
DREXEL BURNHAM LAMBERT INCORPORATED
July 14, 1971 - April 5, 1976
THE ROBINSON-HUMPHREY COMPANY, LLC
May 24, 1971 - August 9, 1971
SALOMON BROTHERS INC.
May 26, 1967 - July 16, 1971
FROST, JOHNSON, READ & SMITH, INCORPORATED
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
Series 1
Date: 3/17/1965
Registered Representative ExaminationSeries 12
Date: 11/8/1973
NYSE Branch Manager ExaminationSeries 00
Date: 5/17/1967
General Securities Principal ExaminationCurrent Firm
SHAPIRO, CARTER & COMPANY, INC.
CRD#: 25344 / SEC#: , 8-41705
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
