Barry Joel Shapiro

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
DC	RA	APPROVED	2022-11-04
DE	RA	APPROVED	2015-04-10
MD	RA	APPROVED	2008-10-31
TX	RA	APPROVED	2008-10-31

DC RA
APPROVED

Since 2022-11-04
DE RA
APPROVED

Since 2015-04-10
MD RA
APPROVED

Since 2008-10-31
TX RA
APPROVED

Since 2008-10-31

Branch Locations

Potomac , MD • United States

7501 Wisconsin Ave, Bethesda, MD 20814 • United States

Rehoboth Beach, DE • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Bethesda	MD	10/2008	Present
Bank Of America, N.A.	Bethesda	MD	06/2011	Present

10/2008 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Bethesda, MD
06/2011 → Present

Bank Of America, N.A.

Bethesda, MD

Previous Registrations

2007-04-02 → 2008-11-03

Morgan Stanley & Co. Llc

Potomac, MD
1999-02-12 → 2007-04-02

Morgan Stanley Dw Inc.

Potomac, MD

Potomac, MD

Other Businesses

I*: 2091264 Entity Type: Charitable Name of OBA: YMCA of Delaware Address: Rehoboth Beach DE 19971 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 01/2025 Number of Hours: 5 hrs mthly Number of Hours during trading: 0 Duties: Joining Board of Directors to work with the YMCA on Community Engagement

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-03-22
S63	Uniform Securities Agent State Law Examination	1996-03-08

S65 Uniform Investment Adviser Law Examination

1996-03-22
S63 Uniform Securities Agent State Law Examination

1996-03-08

View on SEC IAPD