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Joel Barry Shapiro

NFP Retirement Inc.

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About Joel Barry Shapiro

Joel Shapiro has been in the financial services industry since 2006. Joel is currently registered as a Registered Representative (RR) with NFP Retirement Inc. Previously, Joel was registered as a RR with KESTRA Investment Services, LLC and Financial Telesis Inc. Joel holds a Series 6, Series 63, Series 65, and SIE license. Joel specializes in 401(k) plans and provides financial planning and pension consulting services to individuals, high-net-worth individuals, and small businesses. Joel is dedicated to helping clients reach their financial goals.

Firm Information

Joel Shapiro is currently registered with NFP Retirement Inc.. NFP Retirement Inc. is an investment advisor headquartered in Aliso Viejo, CA. With over 130 investment advisor representatives, NFP Retirement Inc. provides investment advisory services to a variety of clients, including individuals, businesses, and pension and profit-sharing plans. The firm has over $96 billion in regulatory assets under management. NFP Retirement Inc. offers financial planning, pension consulting, and portfolio management services. They also provide research reports on 401(k) plans and diligence on investment lineups.
NFP Retirement Inc.

120 VANTIS

ALISO VIEJO, CA 92656

$96.45B

Assets Under Management

30

Total Clients

126

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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research reports on 401(k) plans / diligence on investment lineups

Research reports on 401(k) plans / diligence on investment lineups

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Joel Shapiro’s Registration & Firm History

CA

06/27/2006 - Present

NFP Retirement Inc. (ALISO VIEJO CA)

CA

07/28/2014 - 03/11/2022

KESTRA INVESTMENT SERVICES, LLC (Aliso Viejo CA)

CA

04/28/2006 - 07/23/2014

FINANCIAL TELESIS INC (ALISO VIEJO CA)

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Licenses & Designations

IA

Issued 06/26/2006

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/09/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/27/2006

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Joel Barry Shapiro.
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