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CS

Cassel S. Shapiro

Some features on this profile are disabled
CRD#: 4700834
CS

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.

Cassel Sam Shapiro was a registered financial professional .

Cassel is a previously registered financial professional and started their career in finance in 2005. Cassel had worked at 6 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"?
No

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)

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

September 23, 2022 - October 26, 2022

FNEX CAPITAL, LLC

BD
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.

BD
CRD#: 15007
NEW YORK, NY
Past

January 29, 2013 - May 28, 2013

AEGIS CAPITAL CORP.

BD
CRD#: 15007
NEW YORK, NY
Past

March 1, 2012 - January 4, 2013

AUGMENT SECURITIES INC.

BD
CRD#: 28373
NEW YORK, NY
Past

July 20, 2009 - July 5, 2011

AUGMENT SECURITIES INC.

BD
CRD#: 28373
NEW YORK, NY
Past

July 11, 2008 - September 24, 2008

PICKWICK CAPITAL PARTNERS, LLC

BD
CRD#: 130672
NEW YORK, NY
Past

April 19, 2007 - March 17, 2008

AUGMENT SECURITIES INC.

BD
CRD#: 28373
NEW YORK, NY
Past

March 28, 2006 - December 4, 2006

GT SECURITIES, INC.

BD
CRD#: 116012
VENICE, CA
Past

February 2, 2005 - February 2, 2005

KELLOGG CAPITAL GROUP LLC

BD
CRD#: 35032
NEW YORK, NY

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
RR
Series 63
Date: 12/8/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/31/2019
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 3/13/2012
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 55
Date: 11/24/2003
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 10/23/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/30/2012
General Securities Principal Examination

Current Firm

FC
FNEX CAPITAL, LLC
APPLIED CAPITAL, LLC | FNEX CAPITAL, LLC

CRD#: 166316 / SEC#: , 8-69199

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
One Indiana Square Suite 2252, Indianapolis, IN 46204
Mailing Address
One Indiana Square Suite 2252, Indianapolis, IN 46204
Phone number
(317) 580-2588
Established
Indiana since 06/04/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FNEX, LLCMEMBER
ALVAREZ, KAREN LOUFINANCIAL OPERATIONS4044938
HEGER, LOREN EUGENECEO, CCO, AMLCO, EXEC. REP.6143753

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.

Company Information

FNEX CAPITAL, LLC

CRD#: 166316

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