Charles Lewis Shapiro

Current Employers

Employment History

• 08/2010 → Present
  Lpl Financial, Llc
  San Diego, CA
• 10/2010 → Present
  Stratos Wealth Partners, Ltd
  San Diego, CA

Previous Registrations

• 2009-06-01 → 2010-09-09
  Morgan Stanley
  La Jolla, CA
  San Diego, CA
• 2002-01-28 → 2009-06-01
  Citigroup Global Markets Inc.
  San Diego, CA
  La Jolla, CA

Other Businesses

1. 8/16/2010 - LPL Financial, LLC (Registered Representative) - Investment Related - At Reported Business Location (s) - 100% time spent between LPL Financial, LLC and Stratos Wealth Partners, Ltd. 2. 1/18/2011: - NON-VARIABLE INSURANCE DBA - STRATOS WEALTH PARTNERS, LTD - USE STRATOS WEALTH PARTNERS, LTD, AS A DBA NAME FOR MY SECURITIES AND INVESTMENT ADVISORY & FINANCIAL PLANNING BUSINESS. I AM AN AGENT LICENSED W/VARIOUS CARRIERS FOR SALE AND SERVICE OF FIXED INSURANCE. - 10% OF TIME SPENT. 3. 1/18/2011 - Stratos Wealth Partners, Ltd - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 8/2010 - Time Spent 50% - I provide investment advisory services through Stratos Wealth Partners LTD, an independent investment advisor firm. I started this business activity in 8/2010. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 03/19/2015 - STRATOS CALIFORNIA - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - TIME SPENT 1 HOUR PER MONTH - SAN DIEGO, CA. 5. 8/11/2017 - Stratos Wealth Partners, Ltd - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 08/16/2010 - 80 Hours Per Month During Securities Trading. 6. 10/17/2017 - BGA Insurance - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 08/31/2017 - 2 Hours Per Month During Securities Trading. 7. 10/28/2019 - Rooted Advisory Group LLC - Investment related - At reported business location(s) - DBA for LPL Business (entity for LPL business) - start date:10/25/2019 - 5 hrs/mo - 0 hrs during trading. 8. 6/11/2020 - ANDERSON WEALTH MANAGEMENT GROUP - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 06/10/2020 - 20 Hours Per Month During Securities Trading. 9. 6/15/2020 - Crossroad Capital, LLC - Not Investment Related - Home Based - Other-for accounting purposes and personally own - Started 05/01/2020 - 2 Hours Per Month/1 Hour During Securities Trading. 10. 6/29/2020 - ANDERSON FINANCIAL MANAGEMENT GROUP - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 06/10/2020 - 10 Hours Per Month During Securities Trading. 10. 7/1/2020 - Stratos Wealth Partners, LTD - DBA: (Hybrid) Anderson Financial Management Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started 06/10/2020 - 10 Hours Per Month During Securities Trading. 11. 01/12/2022 - Dixon Wells - Investment Related - 5775 Perimeter Dr Suite #140, Dublin, OH 43017 - Non-Variable Insurance - Agent - Start Date: 01/01/2022 - 2 Hours Per Month/1 Hour During Securities Trading. 12. 11/04/2022 - Stratos CA - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 10/17/2022 - 40 Hours Per Month/2 Hours During Securities Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-12-09
• S63 Uniform Securities Agent State Law Examination
  1994-12-08