Unclaimed
Joshua Shapiro is an investment advisor representative at Cetera Investment Advisers LLC. Joshua has over 17 years of experience in the financial services industry. He is registered with the state of California as an Investment Advisor Representative and also with the state of Texas as an Investment Advisor Representative. Joshua is a licensed Series 6, Series 63 and Series 65. He is also a licensed insurance agent. Joshua is committed to providing his clients with personalized financial advice and investment management services.
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.
1
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 02/10/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/30/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/10/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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