Gene W. 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.
Gene Wayne Shapiro was a registered financial professional .
Gene is a previously registered financial professional and started their career in finance in 2017. Gene had worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2017 - February 8, 2023
CONTEXT FINANCIAL LLC
State Registrations and Notice Filings
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Current Firm
CONTEXT FINANCIAL LLC
CRD#: 281812 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 60 |
| AUM (Assets Under Management) | $ 13,500,000 |
Red Flags
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