AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
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.

top-8-questions

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.
1) SAV SPRING STREET CAPITAL CORP., 6000 COLLINS AVE. APT. 105 MIAMI FL, 33140; INVESTMENT RELATED; SECRETARY; MERGERS AND ACQUISITIONS DUTIES INCLUDE ORGANIZATION, FORMATION AND FURTHER DUTIES RELATED TO ONGOING OPERATIONS; START DATE: JULY 1, 2019; 1-2 HOURS PER MONTH DEVOTED TO BUSINESS; 0 HOURS DURING SECURITIES TRADING HOURS. 2) SAV SUMMER STREET CAPITAL CORP., 6000 COLLINS AVE. APT. 105 MIAMI FL, 33140; INVESTMENT RELATED; SECRETARY; MERGERS AND ACQUISITIONS DUTIES INCLUDE ORGANIZATION, FORMATION AND FURTHER DUTIES RELATED TO ONGOING OPERATIONS; START DATE: JULY 1, 2019; 1-2 HOURS PER MONTH DEVOTED TO BUSINESS; 0 HOURS DURING SECURITIES TRADING HOURS. 3) DERMASENSOR, P.O. BOX 310703 MIAMI, FL 33231; NOT INVESTMENT RELATED; BOARD DIRECTOR, MEDICAL DEVICE TECHNOLOGY; START DATE: 3/15/2020; 5 HOURS PER MONTH DEVOTED TO BUSINESS; 0 HOURS DURING SECURITIES TRADING HOURS. 4) SKILLR INC. (F/K/A LONE PINE DIGITAL), 1345 AVENUE OF THE AMERICAS, 27TH FL, NY NY 10105; NOT INVESTMENT RELATED; PRESIDENT, DIGITAL MEDIA APP START UP; START DATE: 2/28/2020; 30 HOURS PER MONTH DEVOTED TO BUSINESS; 30 HOURS DURING SECURITIES TRADING HOURS. 5) SPRING TARGETED MANAGEMENT LLC., 11 EAST 44TH ST. SUITE 1502 NEW YORK, NY 10017; INVESTMENT RELATED; MANAGING MEMBER, COMPANY WILL SEEK ACQUISITION AND/OR MERGER OPPORTUNITIES; START DATE: 12/03/2020; 1-2 HOURS PER MONTH DEVOTED TO BUSINESS; 0 HOURS DURING SECURITIES TRADING HOURS. 6) OUTSTANDING FOODS, INC.; 1221 OCEAN AVE., SUITE 302 SANTA MONICA, CA 90401; NOT INVESTMENT RELATED; FOOD MANUFACTURER COMPANY FOCUSED ON THE DEVELOPMENT OF PLANT-BASED SNACK PRODUCTS; BOARD MEMBER, DIRECTOR; START DATE: 1/1/2021; 5 HOURS PER MONTH DEVOTED TO BUSINESS; 0 HOURS DURING SECURITIES TRADING HOURS. 7) Agritech Partners LLC & Agritech QP Partners LLC, 1345 AVENUE OF THE AMERICAS, 27TH FL, NY NY 10105 Investment related; Limited liability companies created for the purpose of making and managing investments in Hydrobuilder Holdings LLC; Manager of managers; Start date: 5/7/2021; 1-2 hours per month devoted to business; 0 hours during securities trading hours.

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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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
HEGER, LOREN EUGENECEO, CCO, AMLCO, EXEC. REP.6143753
TEUFEL, FREDERICK CHARLESFINOP2092408

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

TRUST BUT VERIFY

Monitor Cassel Shapiro

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.