Stephen Shapiro, financial advisor Soquel CA
96 score

Stephen Shapiro

CRD Number: 1836035
Current Firm: Securities America Advisors, Inc.

Stephen Shapiro (CRD# 1836035) is an Investment Advisor Representative working at Securities America Advisors, Inc. in Soquel, CA and has over 22 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
Securities America Advisors, Inc. Soquel, CA Dec 2016 - Current 1
Securities America, Inc. Soquel, CA Dec 2016 - Current 1
Milestone Advisory Services- Dba Only Soquel, CA Feb 2013 - Current 5
Tuitions Solutions Now Soquel, CA Jan 2004 - Current 14
Designs In Life Agency- Outside Insurance Atascadero, CA Jan 2002 - Current 16
Cabrillo College Extension Aptos, CA Jan 1995 - Current 23
Stephen G. Shapiro, Cpa Soquel, CA Jul 1982 - Current 35
Arbor Point Advisors Lavista, NE Dec 2016 - Dec 2016 < 1
Foothill Securities, Inc. Aptos, CA Jul 2015 - Dec 2016 1
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: 402-399-9111
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    15,610
    MILLIONS
  • Total Number of Accounts
    105,891
    ACCOUNTS
  • Average Account Value
    $147,418
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
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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

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