Stephen Shapiro, financial advisor Santa Clara CA
96 score

Stephen Shapiro

CRD Number: 1836035
Current Firm: Foothill Securities, Inc.

Stephen Shapiro (CRD# 1836035) is an Investment Advisor Representative working at Foothill Securities, Inc. in Santa Clara, CA and has over 20 years of experience in the finance industry. Stephen Shapiro has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Foothill Securities, Inc. Aptos, CA Jul 2015 - Current 1
Milestone Advisory Services- Dba Only Soquel, CA Feb 2013 - Current 3
Tuitions Solutions Now Soquel, CA Jan 2004 - Current 13
Designs In Life Agency- Outside Insurance Atascadero, CA Jan 2002 - Current 15
Cabrillo College Extension Aptos, CA Jan 1995 - Current 22
Stephen G. Shapiro, Cpa Soquel, CA Jul 1982 - Current 34
Fintegra, LLC Minneapolis, MN Dec 2003 - Jun 2015 11
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Mar 1996
S65 NASAA Investment Advisors Law Examination Oct 1997
Contact Info for Stephen G. Shapiro
Phone Number: 650-625-9701
Registered State(s):
  • AK
  • CA
By the Numbers
  • Total Assets Under Management
    1,158
    MILLIONS
  • Total Number of Accounts
    6,953
    ACCOUNTS
  • Average Account Value
    $166,522
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
Types of Clients
Registered States

AK, AZ, CA, CO, DE, FL, GA, HI, ID, IL, IN, LA, MA, MD, MI, MT, NC, NE, NH, NJ, NM, NV, NY, OH, OR, PA, TN, TX, UT, WA, WI

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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