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FS

Frederick J. Shapiro

Some features on this profile are disabled
CRD#: 719101
FS

Professional summary

Frederick Jay Shapiro was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Frederick is a previously registered financial professional and started their career in finance in 1980. Prior to being barred, Frederick had worked at 10 firms, which includes DETWILER FENTON & CO., LPL FINANCIAL LLC, INVEST FINANCIAL CORPORATION, DETWILER FENTON WEALTH MANAGEMENT INC, JW GENESIS CLEARING CORP., PRESCOTT BALL & TURBEN INC., GULFSTREAM FINANCIAL ASSOCIATES INC., QUICK & REILLY INC., UBS FINANCIAL SERVICES INC., PRUDENTIAL EQUITY GROUP LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 5, 1998 - April 2, 1998

DETWILER FENTON & CO.

BD
CRD#: 1794
BOSTON, MA
Past

November 14, 1994 - July 14, 1997

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

August 11, 1992 - November 9, 1994

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
APPLETON, WI
Past

November 15, 1990 - July 28, 1992

DETWILER FENTON WEALTH MANAGEMENT INC

BD
CRD#: 16063
BOSTON, MA
Past

January 31, 1990 - September 19, 1990

JW GENESIS CLEARING CORP.

BD
CRD#: 6631
BOCA RATON, FL
Past

January 2, 1990 - January 27, 1990

PRESCOTT, BALL & TURBEN, INC.

BD
CRD#: 7656
Past

October 3, 1988 - January 2, 1990

GULFSTREAM FINANCIAL ASSOCIATES, INC.

BD
CRD#: 19910
Past

March 8, 1983 - September 30, 1988

QUICK & REILLY, INC.

BD
CRD#: 11217
NEW YORK, NY
Past

March 30, 1982 - March 1, 1983

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
Past

November 24, 1980 - April 8, 1982

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/21/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/15/1980
General Securities Representative Examination

Current Firm

DF
DETWILER FENTON & CO.
DETWILER FENTON & CO. | LCS BONDS & FINANCIAL MANAGEMENT (DIVISION OF DMFG) | FECHTOR, DETWILER & CO., INC. | DMC ADVISORY SERVICES (A DIVISION OF FECHTOR, DETWILER & CO.) | DMC ADVISORY SERVICES (A DIVISION OF DMFG) | DETWILER, MITCHELL, FENTON & GRAVES, INC. | DETWILER, MITCHELL FENTON & GRAVES, INC.

CRD#: 1794 / SEC#: , 8-16324

BD
Terminated by SEC on 02/22/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
Massachusetts since 01/04/1971
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DETWILER FENTON GROUP, INC.HOLDING COMPANY
FENTON, PETER DELIMACEO, PRESIDENT, CCO2334505
KAPPOTIS, ERNEST DFINOP

Disclosures

Regulatory Event6
Arbitration7
Bond2

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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Company Information

DETWILER FENTON & CO.

CRD#: 1794

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