Zak W Shapiro

Current Employers

Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2017-10-12

CA RA
APPROVED

Since 2017-10-12

Branch Locations

Rancho Mirage, CA • United States

2029 Century Park E Ste 2550, Los Angeles, CA 90067 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination Yes

Employment History

Organization	City	State	From	To
Oppenheimer & Co. Inc.	Los Angeles	CA	05/2013	10/2017
Ameriprise Financial Services Inc	Los Angeles	CA	10/2017	03/2020
Ameriprise Financial Services, Llc	Los Angeles	CA	03/2020	Present

05/2013 → 10/2017

Oppenheimer & Co. Inc.

Los Angeles, CA
10/2017 → 03/2020

Ameriprise Financial Services Inc

Los Angeles, CA
03/2020 → Present

Ameriprise Financial Services, Llc

Los Angeles, CA

Previous Registrations

2013-06-05 → 2017-10-13

Oppenheimer & Co. Inc.

Los Angeles, CA
2010-10-27 → 2013-06-14

Western International Securities, Inc.

Crystal Bay, NV

Los Angeles, CA
2009-12-10 → 2010-10-14

Wells Fargo Clearing Services, Llc

Los Angeles, CA
2009-06-01 → 2009-12-19

Morgan Stanley

Los Angeles, CA
2007-03-30 → 2009-06-01

Citigroup Global Markets Inc.

Los Angeles, CA
2007-04-02 → 2007-04-20

Morgan Stanley & Co. Llc

Beverly Hills, CA
1998-08-24 → 2007-04-02

Morgan Stanley Dw Inc.

Beverly Hills, CA

Beverly Hls, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-02-03
S63	Uniform Securities Agent State Law Examination	1998-01-14

S65 Uniform Investment Adviser Law Examination

1998-02-03
S63 Uniform Securities Agent State Law Examination

1998-01-14

Other Names

Zachary Shapiro
Zak William Shapiro
Zak Shapiro

View on SEC IAPD