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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan Shapiro is an active investment advisor representative with over 20 years of experience in the financial services industry. Alan Shapiro's career began in 2003 and he has been with Wells Fargo Clearing Services, LLC since 2015. Alan Shapiro holds a Series 7, Series 63, and Series 65 license and is a CERTIFIED FINANCIAL PLANNER™. Alan Shapiro has a wide range of experience working with various clients including corporations, charitable organizations, individuals, high-net-worth individuals, and pension and profit-sharing plans.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
03/27/2015 - Present
Wells Fargo Clearing Services, LLC (CARLSBAD CA)
CA
06/01/2009 - 04/07/2015
MORGAN STANLEY (CARLSBAD CA)
CA
02/29/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (CARLSBAD CA)
CA
12/19/2003 - 03/13/2008
CITIGROUP GLOBAL MARKETS INC. (CARLSBAD CA)
IA
Issued 01/22/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/13/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/18/2003
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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