Alan 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.
Alan Shapiro, who also goes by Alan Mark Shapiro, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 2011. Alan had worked at 7 firms and has passed the Series 66, Series 7TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 2021 - November 29, 2021
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
September 15, 2021 - November 29, 2021
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
September 14, 2021 - December 6, 2021
LPL FINANCIAL LLC
April 27, 2021 - October 8, 2021
WALNUT CREEK WEALTH MANAGEMENT
April 14, 2021 - September 13, 2021
CETERA WEALTH SERVICES, LLC
April 14, 2021 - September 13, 2021
CETERA WEALTH SERVICES, LLC
December 10, 2019 - April 20, 2021
MORGAN STANLEY
November 21, 2019 - April 20, 2021
MORGAN STANLEY
May 12, 2011 - July 1, 2013
INSIGHT SECURITIES, INC.
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 7TO
Date: 11/21/2019
General Securities Representative ExaminationCurrent Firm
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
CRD#: 130139 / SEC#: , 8-66305
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEALTH ENHANCEMENT GROUP, LLC | OWNER | |
| CAHN, JAMES LOREN | VICE PRESIDENT | 6052512 |
| CAIN, STEPHANIE M | HEAD OF SUPERVISION | 4081085 |
| CLARK, LISA LYNN | OPERATIONS OFFICER | 2271616 |
| DEKKO, JEFFREY THOMAS HAROLD | VICE PRESIDENT | 4648018 |
| DIECKHAUS, JOSEPH ALAN | CHIEF COMPLIANCE OFFICER | 5374613 |
| FURCHT, ELIZABETH ANN | SECRETARY | 5778785 |
| WINDORSKI, KELLY JOSEPH | CHIEF MANAGER AND CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, TREASURER, AND FINANCIAL OPERATIONS PRINCIPAL | 3211118 |
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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