JS
Joel B. Shapiro
WEALTHSPIRE RETIREMENT ADVISORY
Aliso Viejo, CA 92656
Some features on this profile are disabled
CRD#: 5104448
JS
Professional summary
Joel Barry Shapiro, who also goes by Joe Shapiro, Joel B. Shapiro, Joey Shapiro, is a registered financial advisor currently at WEALTHSPIRE RETIREMENT ADVISORY located in Aliso Viejo, California and KESTRA INVESTMENT SERVICES, LLC located in Aliso Viejo, California.
Joel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Joel has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joe Shapiro | Joel B. Shapiro | Joey 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.
Business Name: 401(k) Advisors Inc Investment Related: Yes Address: 120 Vantis, Suite 400 Aliso Viejo CA 92656 Nature of Business: Consulting Position, Title or Relationship: senior vice president Start Date: 2/1/2006 Hours per month: 41% - 50% (65 - 80 hours) Hours per month during trading hours: 41% - 50% (57 - 70 hours) Duties: head up service team and provide ERISA guidance Business Name: NFP Retirement Investment Related: Yes Address: 120 Vantis, Ste. 400 Aliso Viejo CA 92626 Nature of Business: Consulting Position, Title or Relationship: Senior Vice President Start Date: 2/1/2006 Hours per month: 41% - 50% (65 - 80 hours) Hours per month during trading hours: 41% - 50% (57 - 70 hours) Duties: Oversee plan consultant team; provide ERISA guidance Business Name: Matt Leinart Flag Football League Investment Related: No Address: staff@mlflag.com Orange County CA 92626 Nature of Business: Community/Charitable/Civic Volunteer (Non-Leadership Position) Position, Title or Relationship: Coach Start Date: 9/1/2019 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Coaching children Business Name: NATIONAL ASSOCIATION OF PLAN ADVISERS POSITION: Firm Partner Representative NATURE: Board position (Board of Directors, Board of Trustees, etc.) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/13/2024 ADDRESS: 4401 N. Fairfax Drive, Suite 600, Arlington VA 22203 DESCRIPTION: Serve as a voice of NAPA's constituency.
CRS (Client Relationship Summary) - RIA
Click below to view Joel Barry Shapiro's 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®
NoneExperience
Current
June 27, 2006 - Present
WEALTHSPIRE RETIREMENT ADVISORY
Office #1: 120 Vantis Suite 400, Aliso Viejo, CA 92656RIA
CRD#: 121254
Aliso Viejo, CA
Current
April 18, 2023 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 120 Vantis Suite 400, Aliso Viejo, CA 92656BD
CRD#: 42046
Aliso Viejo, CA
Past
July 28, 2014 - March 11, 2022
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
Aliso Viejo, CA
Past
April 28, 2006 - July 23, 2014
FINANCIAL TELESIS INC
BD
CRD#: 31012
ALISO VIEJO, 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".
WR
WEALTHSPIRE RETIREMENT ADVISORY
401 (K) ADVISORS | WEALTHSPIRE RETIREMENT, LLC | WEALTHSPIRE RETIREMENT ADVISORY | SST BENEFITS AND CONSULTING SERVICES LLC | NFP RETIREMENT INC. | NFP RETIREMENT | FIDUCIARYPATH | FIDUCIARY FIRST, LLC | ACCELERATE RETIREMENT | 403(B) ADVISORS | 401(K) INVESTMENT ADVISORS, INC. | 401(K) ADVISORS, INC. | 401(K) ADVISORS INC. | 401 (K) ADVISORS, INC.
CRD#: 121254 / SEC#: 801-66107
RIA
Registered Investment Advisory firm - (1/31/2006 Approved)California
Registered Investment Advisory firm - (2/9/2006 Terminated)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.RR
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
IAR
California(6/27/2006)
RR
California(4/18/2023)
RR
Florida(5/14/2025)
RR
Georgia(4/18/2023)
RR
Illinois(5/14/2025)
RR
Indiana(5/14/2025)
RR
Kansas(5/14/2025)
RR
Kentucky(5/14/2025)
RR
New Jersey(4/18/2023)
RR
New Mexico(5/14/2025)
RR
New York(4/18/2023)
RR
North Carolina(5/14/2025)
RR
Ohio(5/14/2025)
RR
Texas(4/18/2023)
RR
Virginia(4/18/2023)
RR
Wisconsin(4/18/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WR
WEALTHSPIRE RETIREMENT ADVISORY
401 (K) ADVISORS | WEALTHSPIRE RETIREMENT, LLC | WEALTHSPIRE RETIREMENT ADVISORY | SST BENEFITS AND CONSULTING SERVICES LLC | NFP RETIREMENT INC. | NFP RETIREMENT | FIDUCIARYPATH | FIDUCIARY FIRST, LLC | ACCELERATE RETIREMENT | 403(B) ADVISORS | 401(K) INVESTMENT ADVISORS, INC. | 401(K) ADVISORS, INC. | 401(K) ADVISORS INC. | 401 (K) ADVISORS, INC.
CRD#: 121254 / SEC#: 801-66107
RIA
Registered Investment Advisory firm - (1/31/2006 Approved)California
Registered Investment Advisory firm - (2/9/2006 Terminated)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
120 Vantis Suite 400, Aliso Viejo, CA 92656
Mailing Address
Phone number
(949) 460-9898
Established
Firm type
Fiscal year end
# of Employees
240
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 9,394 |
| AUM (Assets Under Management) | $ 118,031,461,765 |
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.
