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Rick Scott Shapiro

Osaic Wealth, Inc.

Chicago, IL

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Current Employers
Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2025-01-24
  • IL RA
    APPROVED
    Since 2025-01-24

Branch Locations

8755 West Higgins Road Suite 200, Chicago, IL 60631 • 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
Axa Advisors, Llc New York NY 06/2008 11/2018
Lincoln Financial Advisors Chicago IL 11/2018 01/2025
Osaic Wealth, Inc. Chicago IL 01/2025 Present
  • 06/2008 → 11/2018
    Axa Advisors, Llc
    New York, NY
  • 11/2018 → 01/2025
    Lincoln Financial Advisors
    Chicago, IL
  • 01/2025 → Present
    Osaic Wealth, Inc.
    Chicago, IL
Previous Registrations
  • 2019-01-29 → 2025-01-24
    Osaic Fa, Inc.
    Chicago, IL
  • 2005-03-24 → 2008-06-30
    Mutual Service Corporation
    Glenview, IL
Other Businesses

RICK SHAPIRO 8755 W. HIGGINS RD. SUITE 200, CHICAGO, IL 60631 CATEGORY: INSURANCE INVESTMENT RELATED: YES TITLE: AGENT DUTIES: OFFER AND SERVICE FIXED INSURANCE PRODUCTS INCLUDING FIXED AND INDEXED ANNUITIES, ACCIDENT, HEALTH, AND TRADITIONAL LIFE INSURANCE START DATE: 12/1/2018 HOURS PER MONTH: 40 HOURS PER MONTH DURING TRADING HOURS: 00.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1992-01-09
  • S63 Uniform Securities Agent State Law Examination
    1992-01-09

View on SEC IAPD

Other Firms

BROWNSON, REHMUS & FOXWORTH, INC.
PFINGSTEN PARTNERS, L.L.C.
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
GUGGENHEIM INVESTMENTS
PEKIN HARDY STRAUSS, INC.
SPIDERROCK ADVISORS, LLC
PROSPECT PARTNERS ADVISORS LLC
DOYENNE WEALTH ADVISORS

Other Investors

James Michael Franch
HAROLD NELSON LEAVELL
CARLYLE KELLY MADDEN
PHILIP JOHN RIDOLPHI
SUSAN MARY SHACKLETTE
KRISTI LYNN MILLS
NATHANIEL MITCHELL COLEMAN
KEITH MATTHEW CARDOZA

Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

More in Chicago, IL

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