David N. Shapero
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.
David Neal Shapero, who also goes by David Shapero, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2002. David had worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2012 - August 6, 2012
WADDELL & REED
January 18, 2012 - August 6, 2012
WADDELL & REED
December 22, 2010 - January 11, 2012
HORTER INVESTMENT MANAGEMENT, LLC
March 3, 2010 - October 14, 2010
ALLSTATE FINANCIAL SERVICES, LLC
September 7, 2007 - March 2, 2010
SICOR SECURITIES INC
February 23, 2005 - November 22, 2005
OSAIC FS, INC.
September 24, 2004 - December 9, 2004
AMERITAS INVESTMENT COMPANY, LLC
June 30, 2004 - December 9, 2004
AMERITAS INVESTMENT COMPANY, LLC
November 4, 2003 - July 16, 2004
FSC SECURITIES CORPORATION
November 4, 2003 - July 16, 2004
FSC SECURITIES CORPORATION
February 25, 2003 - November 12, 2003
CETERA INVESTMENT ADVISERS LLC
April 3, 2002 - November 12, 2003
CAPITAL BROKERAGE CORPORATION
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
Current Firm
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 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.
