Joshua Shapiro

CETERA INVESTMENT ADVISERS LLC

LOS ANGELES, CA 90010

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CRD#: 4681986

Professional summary

Joshua Shapiro, who also goes by Josh Shapiro, Joshua Elijah Shapiro, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Los Angeles, California and CETERA WEALTH SERVICES, LLC located in Los Angeles, California.

Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Joshua has worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Josh Shapiro | Joshua Elijah Shapiro

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.

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE POSITION/TITLE/RELATIONSHIP: AGENT START DATE: 3/2006 APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: SALES OF LIFE, HEALTH, DISABILITY, ANNUITIES, AND LONG TERM-CARE; 2. NAME OF OTHER BUSINESS: BESPOKE ASSET MANAGEMENT; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 06/2022, POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 3. NAME OF OTHER BUSINESS: SAFE HARBOR FINANCIAL; INVESTMENT RELATED: YES, ADDRESS: 935 KINGS HIGHWAY, SUITE 300, WEST DEPTFORD, NJ 08086, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 8/2023, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 10, APX NUMBER OF HOURS DURING TRADING HOURS: 10, BRIEF DESCRIPTION OF DUTIES: DBA FOR SALE AND SERVICE OF FIXED INSURANCE; 4. NAME OF OTHER BUSINESS: FINANCIAL DISTRIBUTORS GROUP; INVESTMENT RELATED: YES, ADDRESS: 935 KINGS HIGHWAY, SUITE 300, WEST DEPTFORD, NJ 08086, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 8/2023, POSITION/TITLE/RELATIONSHIP: REGIONAL DIRECTOR, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR SALE AND SERVICE OF FIXED INSURANCE; 5. NAME OF OTHER BUSINESS: VENTURA BRAVES BASEBALL CLUB INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: BASEBALL CLUB; START DATE: 8/2023; POSITION/TITLE/RELATIONSHIP: GENERAL MANAGER/BASEBALL COACH; APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: 10; BRIEF DESCRIPTION OF DUTIES: MANAGE & COACH BASEBALL; 6. NAME OF OTHER BUSINESS: VENTURA COUNTY UNIFIED SCHOOL DISTRICT, FOOTHILL TECHNOLOGY HIGH SCHOOL; INVESTMENT RELATED: NO; ADDRESS: 100 DAY RD, VENTURA, CA 93003; NATURE OF BUSINESS: HIGH SCHOOL BASEBALL; START DATE: 8/2023; POSITION/TITLE/RELATIONSHIP: ASSISTANT HIGH SCHOOL BASEBALL COACH; APX NUMBER OF HOURS PER WEEK: 10, APX NUMBER OF HOURS DURING TRADING HOURS: 10, BRIEF DESCRIPTION OF DUTIES: COACH HIGH SCHOOL BASEBALL;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Shapiro's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 3600 Wilshire Blvd., Suite 1914, Los Angeles, CA 90010

RIA

CRD#: 105644

LOS ANGELES, CA

Current

April 26, 2022 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 3600 Wilshire Blvd., Suite 1914, Los Angeles, CA 90010

CRD#: 13572

LOS ANGELES, CA

Past

April 26, 2022 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

October 4, 2021 - May 5, 2022

MUTUAL TRUST ASSET MGMT., INC.

RIA

CRD#: 121364

Camarillo, CA

Past

September 22, 2021 - May 5, 2022

MUTUAL TRUST COMPANY OF AMERICA SECURITIES

CRD#: 8494

ST. PETERSBURG, FL

Past

December 16, 2019 - August 26, 2021

VISION 4 FUND DISTRIBUTORS

CRD#: 298105

SCOTTSDALE, AZ

Past

December 16, 2015 - November 21, 2019

AST INVESTMENT SERVICES, INC.

RIA

CRD#: 108897

SHELTON, CT

Past

December 16, 2015 - November 8, 2019

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570

SHELTON, CT

Past

March 5, 2014 - December 1, 2015

SAMMONS FINANCIAL NETWORK, LLC

CRD#: 158538

WEST DES MOINES, IA

Past

January 4, 2013 - March 10, 2014

GIRARD SECURITIES, INC.

CRD#: 18697

ENCINO, CA

Past

February 15, 2012 - March 31, 2014

PARTNERVEST ADVISORY SERVICES LLC

RIA

CRD#: 113621

SANTA BARBARA, CA

Past

July 31, 2009 - December 31, 2012

SORRENTO PACIFIC FINANCIAL, LLC

CRD#: 127787

SANTA BARBARA, CA

Past

April 16, 2009 - July 31, 2009

PARTNERVEST SECURITIES, INC.

CRD#: 104134

ENCINO, CA

Past

September 12, 2005 - April 15, 2009

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

SANTA BARBARA, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(6/22/2022)

Arizona
(6/29/2022)

Arkansas
(8/24/2022)

California
(4/27/2022)

IAR

California
(6/29/2023)

Colorado
(6/1/2022)

Connecticut
(6/16/2022)

Delaware
(6/27/2022)

District of Columbia
(6/17/2022)

Florida
(10/7/2022)

Georgia
(5/5/2022)

Hawaii
(7/5/2022)

Idaho
(6/23/2022)

Illinois
(1/12/2023)

Indiana
(7/18/2022)

Iowa
(5/11/2022)

Kansas
(5/6/2022)

Kentucky
(5/9/2022)

Louisiana
(6/21/2022)

Maryland
(5/5/2022)

Massachusetts
(6/24/2022)

Michigan
(5/11/2022)

Minnesota
(5/6/2022)

Mississippi
(6/21/2022)

Missouri
(7/15/2022)

Nebraska
(5/20/2022)

Nevada
(7/19/2022)

New Jersey
(5/26/2022)

New Mexico
(5/5/2022)

New York
(5/7/2022)

North Carolina
(5/17/2022)

North Dakota
(6/20/2022)

Ohio
(5/5/2022)

Oklahoma
(6/21/2022)

Pennsylvania
(5/10/2022)

South Carolina
(6/22/2022)

South Dakota
(7/26/2022)

Tennessee
(5/18/2022)

Texas
(5/6/2022)

IAR

Texas
(6/29/2023)

Utah
(7/15/2022)

Vermont
(5/21/2024)

Virginia
(5/5/2022)

Washington
(6/6/2022)

Wisconsin
(6/23/2022)

Wyoming
(7/6/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/10/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/30/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/10/2005

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Joshua Shapiro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Shapiro's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

MUTUAL TRUST ASSET MGMT., INC.

MUTUAL TRUST COMPANY OF AMERICA SECURITIES

VISION 4 FUND DISTRIBUTORS

AST INVESTMENT SERVICES, INC.

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

SAMMONS FINANCIAL NETWORK, LLC

GIRARD SECURITIES, INC.

PARTNERVEST ADVISORY SERVICES LLC

SORRENTO PACIFIC FINANCIAL, LLC

PARTNERVEST SECURITIES, INC.

JOHN HANCOCK DISTRIBUTORS LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/10/2012

Series 63

Date: 1/30/2006

SIE

Date: 10/1/2018

Series 6

Date: 9/10/2005

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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