Caroline 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.
Caroline Reed Shapiro, who also goes by Caroline Reed Shapiro, Caroline Shapiro, was a registered financial professional .
Caroline is a previously registered financial professional and started their career in finance in 2018. Caroline had worked at 2 firms and has passed the Series 66, 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
May 13, 2022 - June 24, 2024
BLACKSTONE SECURITIES PARTNERS L.P.
July 9, 2019 - April 5, 2022
NEUBERGER BERMAN BD LLC
May 1, 2018 - April 5, 2022
NEUBERGER BERMAN BD 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
Current Firm
BLACKSTONE SECURITIES PARTNERS L.P.
CRD#: 17917 / SEC#: , 8-35941
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BLACKSTONE GROUP HOLDINGS L.P. | LIMITED PARTNER | |
| BALLAS, ZACHARY | DESIGNATED PRINCIPAL | 6563232 |
| BLACKSTONE ADVISORY SERVICES L.L.C. | GENERAL PARTNER | |
| DEROSE, ANTHONY | CHIEF COMPLIANCE OFFICER | 5553578 |
| PAYNE, DAVID BRYAN | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, FINOP | 4984877 |
| SCHWARZMAN, STEPHEN ALLEN | CHAIRMAN & CEO | 861435 |
Red Flags
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