Cassel S. Shapiro

CEROS FINANCIAL SERVICES

New York, NY 10038

CRD#: 4700834

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Professional summary

Cassel Sam Shapiro is a registered financial professional currently at CEROS FINANCIAL SERVICES, INC. located in New York, New York.

Cassel is registered as a RR (Registered Representative) and started their career in finance in 2005. Cassel has worked at 7 firms and has passed the Series 63, Series 57TO, Series 79TO, SIE, Series 87, Series 55, Series 7 and Series 24 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Cassel Sam 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

April 15, 2026 - Present

CEROS FINANCIAL SERVICES, INC.

Office #1: One Seaport Plaza 199 Water Street 21st Floor, New York, NY, 10038

CRD#: 37869

New York, NY

Past

September 23, 2022 - October 26, 2022

FNEX CAPITAL, LLC

CRD#: 166316

INDIANAPOLIS, IN

Past

March 15, 2018 - August 31, 2022

AEGIS CAPITAL CORP.

RIA

CRD#: 15007

NEW YORK, NY

Past

May 5, 2014 - August 31, 2022

AEGIS CAPITAL CORP.

CRD#: 15007

NEW YORK, NY

Past

January 29, 2013 - May 28, 2013

AEGIS CAPITAL CORP.

CRD#: 15007

NEW YORK, NY

Past

March 1, 2012 - January 4, 2013

AUGMENT SECURITIES INC.

CRD#: 28373

NEW YORK, NY

Past

July 20, 2009 - July 5, 2011

AUGMENT SECURITIES INC.

CRD#: 28373

NEW YORK, NY

Past

July 11, 2008 - September 24, 2008

PICKWICK CAPITAL PARTNERS, LLC

CRD#: 130672

NEW YORK, NY

Past

April 19, 2007 - March 17, 2008

AUGMENT SECURITIES INC.

CRD#: 28373

NEW YORK, NY

Past

March 28, 2006 - December 4, 2006

GT SECURITIES, INC.

CRD#: 116012

VENICE, CA

Past

February 2, 2005 - February 2, 2005

KELLOGG CAPITAL GROUP LLC

CRD#: 35032

NEW YORK, NY

State Registrations and Notice Filings

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

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
(5/14/2026)

Alaska
(5/11/2026)

Arizona
(5/19/2026)

Arkansas
(5/12/2026)

California
(5/8/2026)

Colorado
(5/11/2026)

Connecticut
(5/11/2026)

Delaware
(5/11/2026)

District of Columbia
(5/11/2026)

Florida
(5/11/2026)

Georgia
(5/11/2026)

Idaho
(5/13/2026)

Illinois
(5/15/2026)

Indiana
(5/13/2026)

Iowa
(5/11/2026)

Kansas
(5/11/2026)

Kentucky
(5/11/2026)

Louisiana
(5/11/2026)

Maine
(5/8/2026)

Maryland
(4/28/2026)

Massachusetts
(5/11/2026)

Michigan
(5/12/2026)

Minnesota
(5/11/2026)

Mississippi
(5/13/2026)

Missouri
(5/11/2026)

Montana
(5/13/2026)

Nebraska
(5/8/2026)

Nevada
(5/12/2026)

New Hampshire
(5/12/2026)

New Jersey
(4/21/2026)

New Mexico
(5/11/2026)

New York
(4/20/2026)

North Carolina
(5/12/2026)

North Dakota
(5/12/2026)

Ohio
(5/9/2026)

Oklahoma
(5/19/2026)

Pennsylvania
(5/12/2026)

Rhode Island
(5/11/2026)

South Carolina
(5/13/2026)

South Dakota
(5/11/2026)

Tennessee
(5/12/2026)

Texas
(5/8/2026)

Utah
(5/12/2026)

Vermont
(5/11/2026)

Virginia
(5/18/2026)

West Virginia
(5/20/2026)

Wisconsin
(5/21/2026)

Wyoming
(5/11/2026)

Exams

State Security Law Exam

Series 63

Date: 4/20/2026

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 79TO

Date: 1/31/2019

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 3/13/2012

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 55

Date: 11/24/2003

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 10/23/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/30/2012

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

CEROS FINANCIAL SERVICES, INC.

CRD#: 37869 / SEC#: , 8-47955

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

1445 Research Boulevard Suite 530, Rockville, MD 20850

Mailing Address

1445 Research Boulevard Suite 530, Rockville, MD 20850

Phone number

(866) 842-3356

Established

Massachusetts since 09/30/1994

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
DGB HOLDINGS, LLC	OWNER
AYERS-RIGSBY, MARY CATHERINE	PRESIDENT	830349
GOLDWASSER, MARK HARRY	CEO	1334008
GREENE, JON CHRISTOPHER	ROSFP	3202524
HOLLAND, ANGELA LYNNETTE	CHIEF COMPLIANCE OFFICER	3166586
POWELL, KIM ULMAN	CHIEF FINANCIAL OFFICER	6244231
WILSON, DANIEL	AMLCO	6763074

Disclosures

Regulatory Event

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

Cassel S. Shapiro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

FNEX CAPITAL, LLC

AEGIS CAPITAL CORP.

AEGIS CAPITAL CORP.

AEGIS CAPITAL CORP.

AUGMENT SECURITIES INC.

AUGMENT SECURITIES INC.

PICKWICK CAPITAL PARTNERS, LLC

AUGMENT SECURITIES INC.

GT SECURITIES, INC.

KELLOGG CAPITAL GROUP LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/20/2026

Series 57TO

Date: 1/2/2023

Series 79TO

Date: 1/31/2019

SIE

Date: 10/1/2018

Series 87

Date: 3/13/2012

Series 55

Date: 11/24/2003

Series 7

Date: 10/23/2003

Series 24

Date: 4/30/2012

FINRA

Nasdaq Stock Market

Current Firm

CEROS FINANCIAL SERVICES, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CEROS FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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