JS
Jonathan B. Shapero
MAXIM FINANCIAL ADVISORS LLC
New York, NY 10022
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CRD#: 6102724
JS
Professional summary
Jonathan Bennett Shapero is a registered financial advisor currently at MAXIM FINANCIAL ADVISORS LLC located in New York, New York and MAXIM GROUP LLC located in Ft Lauderdale, Florida.
Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Jonathan has worked at 2 firms and has passed the Series 66, Series 7TO, Series 79TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan Bennett Shapero'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
July 19, 2021 - Present
MAXIM FINANCIAL ADVISORS LLC
Office #1: 300 Park Ave 16th Fl, New York, NY 10022RIA
CRD#: 139366
New York, NY
Current
June 8, 2020 - Present
MAXIM GROUP LLC
Office #1: 1 East Broward Blvd Suite 1430, Ft Lauderdale, FL 33301BD
CRD#: 120708
Ft Lauderdale, FL
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".
MF
MAXIM FINANCIAL ADVISORS LLC
MAXIM CAPITAL MANAGEMENT | MAXIM FINANCIAL ADVISORS, LLC | MAXIM FINANCIAL ADVISORS LLC
CRD#: 139366 / SEC#: 801-66147
RIA
Registered Investment Advisory firm - (1/26/2006 Approved)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
RR
Arizona(7/7/2021)
RR
California(7/7/2021)
RR
Colorado(7/7/2021)
RR
Connecticut(9/17/2020)
RR
District of Columbia(1/3/2023)
RR
Florida(5/21/2021)
RR
Georgia(7/7/2021)
RR
Illinois(8/5/2022)
RR
Maryland(7/7/2021)
RR
Massachusetts(7/7/2021)
RR
Michigan(8/5/2022)
RR
Nebraska(10/14/2024)
RR
New Jersey(7/7/2021)
RR
New York(9/17/2020)
IAR
New York(7/19/2021)
RR
North Carolina(7/7/2021)
RR
Ohio(7/8/2021)
RR
Pennsylvania(7/7/2021)
RR
South Carolina(8/5/2022)
RR
Texas(7/7/2021)
RR
Virginia(7/7/2021)
RR
Washington(7/7/2021)
RR
Wisconsin(7/7/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/15/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 6/8/2020
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
MF
MAXIM FINANCIAL ADVISORS LLC
MAXIM CAPITAL MANAGEMENT | MAXIM FINANCIAL ADVISORS, LLC | MAXIM FINANCIAL ADVISORS LLC
CRD#: 139366 / SEC#: 801-66147
RIA
Registered Investment Advisory firm - (1/26/2006 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
300 Park Ave 16th Fl, New York, NY 10022
Mailing Address
Phone number
(212) 895-3500
Established
Firm type
Fiscal year end
# of Employees
39
SEC notice filing (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 753 |
| AUM (Assets Under Management) | $ 396,466,473 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 09/17/2024 | ||
| 12/19/2023 | ||
| 01/24/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
