Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joshua? Claim Your ProfileJoshua Shapiro is a financial professional with over 17 years of experience in the financial services industry. Joshua is currently registered with Cetera Investment Advisers LLC and holds licenses in both California and Texas. Joshua is committed to providing personalized financial advice and investment management services to individuals, families, and businesses. Joshua's previous experience includes positions with Mutual Trust Company of America Securities, Vision 4 Fund Distributors, Prudential Annuities Distributors, Inc., Sammons Financial Network, LLC, Girard Securities, Inc., Sorrento Pacific Financial, LLC, and John Hancock Distributors LLC.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
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.
A percentage of the total value of assets under management is charged.
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2
CA
06/29/2023 - Present
Cetera Investment Advisers LLC (ENCINO CA)
FL
09/22/2021 - 05/05/2022
MUTUAL TRUST COMPANY OF AMERICA SECURITIES (ST. PETERSBURG FL)
AZ
12/16/2019 - 08/26/2021
VISION 4 FUND DISTRIBUTORS (SCOTTSDALE AZ)
CT
12/16/2015 - 11/08/2019
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC (SHELTON CT)
IA
03/05/2014 - 12/01/2015
SAMMONS FINANCIAL NETWORK, LLC (WEST DES MOINES IA)
CA
01/04/2013 - 03/10/2014
GIRARD SECURITIES, INC. (ENCINO CA)
CA
07/31/2009 - 12/31/2012
SORRENTO PACIFIC FINANCIAL, LLC (SANTA BARBARA CA)
CA
04/16/2009 - 07/31/2009
PARTNERVEST SECURITIES, INC. (ENCINO CA)
CA
09/12/2005 - 04/15/2009
JOHN HANCOCK DISTRIBUTORS LLC (SANTA BARBARA CA)
IA
Issued 2/10/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 1/30/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 9/10/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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