Andrew R. Shapiro
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.
Andrew Robert Shapiro, who also goes by Andrew Shapiro, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2006. Andrew had worked at 7 firms and has passed the Series 63, Series 57TO, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 2021 - November 19, 2021
GREAT POINT CAPITAL LLC
November 21, 2018 - July 17, 2019
T3 TRADING GROUP, LLC
November 6, 2017 - October 31, 2018
GREAT POINT CAPITAL LLC
January 1, 2016 - December 12, 2016
HOLD BROTHERS CAPITAL LLC
March 28, 2011 - June 30, 2011
BENCHMARQ TRADING PARTNERS LLC
July 7, 2008 - September 3, 2008
TAFFERER TRADING, LLC
January 8, 2008 - February 11, 2008
AUGMENT SECURITIES INC.
September 12, 2006 - April 24, 2007
BANC OF AMERICA SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
GREAT POINT CAPITAL LLC
CRD#: 114203 / SEC#: , 8-53402
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
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.
