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FIRM PROFILE
Overview
SHOPOFF SECURITIES, INC. is located at 18565 Jamboree Road, Suite 200, Irvine, CA 92612 and was first established at Los Angeles, Delaware in 09/15/2006. After operating for 19 years, SHOPOFF SECURITIES, INC. has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of SHOPOFF SECURITIES, INC.’s clients are individuals and 0% of their clients are high net worth individuals. SHOPOFF SECURITIES, INC. has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at SHOPOFF SECURITIES, INC. are registered to handle securities or provide financial advice. The firm has 0 disclosures, 0 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access SHOPOFF SECURITIES, INC.‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at SHOPOFF SECURITIES, INC.. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for SHOPOFF SECURITIES, INC. Comes From
Understanding the Statistics for SHOPOFF SECURITIES, INC. and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
18565 Jamboree Road, Suite 200, Irvine, CA 92612
18565 Jamboree Road, Suite 200, Irvine, CA 92612
Small
(949) 417-1397
Delaware since 09/15/2006
Corporation
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | CRD# |
|---|---|---|---|
| THE SHOPOFF REVOCABLE TRUST DATED 8/12/2004 | OWNER | ||
| MERRIMAN, JO ALMA | CHIEF OPERATING OFFICER | 7346895 | |
| SHOPOFF, CINDY MILAM | TRUSTEE | 5380583 | |
| SHOPOFF, WILLIAM ANTHONY | CHIEF COMPLIANCE OFFICER / AML-CO | 1273471 | |
| SHOPOFF, WILLIAM ANTHONY | PRESIDENT/CEO | 1273471 | |
| SHOPOFF, WILLIAM ANTHONY | TRUSTEE | 1273471 | |
| SHUMBERG, IVANA M | FINOP | 3167225 |
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Advisor's working at SHOPOFF SECURITIES, INC.
William Anthony Shopoff
Mark Peter Parisi
Edward Joseph Breen
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