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Rick K. Shapiro

Some features on this profile are disabled
CRD#: 4715187
RS

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.

Rick K Shapiro, CFP® was a registered financial professional .

Rick is a previously registered financial professional and started their career in finance in 1998. Rick had worked at 1 firm .

Biography

In conjunction with his financial planning practice, Mr. Shapiro has been a tax-specialist Certified Public Accountant (CPA) since November 1985 .  He earned a Master's Degree in Taxation (MST, as indicated above) in May of 1991. Mr. Shapiro began to offer Personal Financial Planning services in 1992 after extensive study and training in a comprehensive program by the American Institute of CPA's (AICPA); and was certified as a Personal Financial Specialist (CPA/PFS, a CPA-only designation awarded by the AICPA) and as a Certified Financial Planner (CFP) in 1996.
top-8-questions

Question & Answer

What are your service offerings?
Investment Planning
Estate Planning
Comprehensive Financial Planni...
Education Planning
Tax Planning
Business Succession Planning
Retirement Planning
Divorce Planning
Do you have an area of expertise or specialization?
Divorce Planning
Estate & Generational Planning...
High Net Worth Client Needs
Investment Advice with Ongoing...
Retirement Planning & Distribu...
Tax Planning
What is your minimum asset requirement?
500K
How do you get paid?
Fee Only
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.
RICK K. SHAPIRO, CPA, PFS P.C. THE BUSINESS IS INVESTMENT-RELATED 998 FARMINGTON AVE, SUITE 202 WEST HARTFORD, CT 06107 TAX ACCOUNTING/ADVISING CPA/ADVISOR SINCE 1990 APPROXIMATELY 150 HOURS PER MONTH 120 HOURS ARE DEVOTED DURING TRADING HOURS DUTIES INCLUDE: TAX PLANNING AND PREPARATION. OTHER CONSULTING WORK. ALSO, ADMINISTRATIVE DUTIES RELATING TO THE BUSINESS.

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®
CFP®

Certified Financial Planner

Start date: 1996

Experience

Past

January 15, 2016 - December 31, 2023

INVESTMENT & FINANCIAL COUNSELORS, LLC

RIA
CRD#: 127261
West Hartford, CT
Past

April 29, 1998 - December 31, 2015

INVESTMENT & FINANCIAL COUNSELORS, LLC

RIA
CRD#: 127261
WEST HARTFORD, CT

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

Current Firm

I&
INVESTMENT & FINANCIAL COUNSELORS, LLC
INVESTMENT & FINANCIAL COUNSELORS, LLC

CRD#: 127261 / SEC#:

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Contact information

Main Address
998 Farmington Ave Suite 202, West Hartford, CT 06107
Mailing Address
998 Farmington Avenue Suite 202, West Hartford, CT 06107
Phone number
(860) 232-4121
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

INVESTMENT & FINANCIAL COUNSELORS, LLC

CRD#: 127261

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