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Cory M Shapira

Osaic Institutions, Inc.

Meriden, CT

Estero, FL

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Current Employers
Osaic Institutions, Inc.

538 Preston Avenue, Meriden, CT 06450-4858 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-07-03
  • FL RA
    APPROVED
    Since 2024-07-03

Branch Locations

538 Preston Avenue, Meriden, CT 06450-4858 • United States

10010 Coconut Road, Estero, FL 34109 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wasmer, Schroeder & Company Naples FL 11/2017 06/2020
Westmount Asset Management Los Angeles CA 09/2007 05/2017
Unemployed Naples FL 06/2017 10/2017
Charles Schwab Investment Advisory, Inc. Naples FL 07/2020 03/2022
Charles Schwab Investment Management, Inc. Naples FL 03/2022 01/2024
Osaic Investments, Inc. Meriden CT 04/2024 Present
Finemark National Bank Fort Meyers FL 04/2024 Present
  • 11/2017 → 06/2020
    Wasmer, Schroeder & Company
    Naples, FL
  • 09/2007 → 05/2017
    Westmount Asset Management
    Los Angeles, CA
  • 06/2017 → 10/2017
    Unemployed
    Naples, FL
  • 07/2020 → 03/2022
    Charles Schwab Investment Advisory, Inc.
    Naples, FL
  • 03/2022 → 01/2024
    Charles Schwab Investment Management, Inc.
    Naples, FL
  • 04/2024 → Present
    Osaic Investments, Inc.
    Meriden, CT
  • 04/2024 → Present
    Finemark National Bank
    Fort Meyers, FL
Previous Registrations
  • 2022-03-21 → 2024-01-16
    Charles Schwab Investment Management, Inc
    San Francisco, CA
    Naples, FL
  • 2020-07-07 → 2022-03-10
    Charles Schwab Investment Advisory, Inc.
    Naples, FL
    San Francisco, CA
  • 2018-01-24 → 2020-07-02
    Wasmer Schroeder
    Naples, FL
  • 2005-08-05 → 2007-09-20
    Partnervest Advisory Services Llc
    Santa Barbara, CA
    Calabasas, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-01-19
S63 Uniform Securities Agent State Law Examination 2002-10-02
  • S65 Uniform Investment Adviser Law Examination
    2018-01-19
  • S63 Uniform Securities Agent State Law Examination
    2002-10-02
Other Names
  • Cory Martin Shapira
  • Cory Martin Shapira

View on SEC IAPD

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ARMSTRONG ADVISORY GROUP INC.
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Other Investors

JEANETTE FUNG CHUNG
DENISE ELIZABETH MATHEWS
RAJU T PUNNOOSE
FREDERICK C. BROSE
MICHAEL BRENDON COOK
GARY LEE JAMESON
JENNIFER MARIE Campbell
JOHN M CHIPELO

Other Offices

OSAIC INSTITUTIONS, INC. · MERIDEN, CT
CETERA INVESTMENT ADVISERS LLC · MERIDEN, CT
BROOKSTONE WEALTH ADVISORS, LLC · Meriden, CT
LPL FINANCIAL LLC · MERIDEN, CT
OSAIC INSTITUTIONS, INC. · meriden, CT
1.21 GIGAWATTS MANAGEMENT COMPANY LLC · MIDDLETOWN, CT
CWM, LLC · Wallingford, CT
SENTINEL ASSET MANAGEMENT, LLC · WALLINGFORD, CT

More in Meriden, CT

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