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Robert S. Shapiro

LPl Financial LLC

Whippany, NJ

Springfield, NJ

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2011-01-03
  • NJ RA
    APPROVED
    Since 2011-01-03

Branch Locations

110 S Jefferson Rd Ste 301, Whippany, NJ 07981 • United States

Springfield, NJ • 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
Lpl Financial Whippany NJ 01/2011 Present
  • 01/2011 → Present
    Lpl Financial
    Whippany, NJ
Previous Registrations
  • 2006-09-21 → 2010-12-31
    Ic Advisory Services, Inc.
    Florham Park, NJ
    Bedminster, NJ
Other Businesses

1. 01/03/2011 - DBA ONLY, DIVERSIFIED FINANCIAL CONSULTANTS LLC.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-09-20
S63 Uniform Securities Agent State Law Examination 1986-09-12
  • S66 Uniform Combined State Law Examination
    2006-09-20
  • S63 Uniform Securities Agent State Law Examination
    1986-09-12
Other Names
  • Robert S. Shapiro
  • Robert Scott Shapiro

View on SEC IAPD

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Other Offices

THRIVENT INVESTMENT MANAGEMENT INC. · Whippany, NJ
NEW HORIZONS WEALTH MANAGEMENT · CEDAR KNOLLS, NJ
FAIRBRIDGE CAPITAL MANAGEMENT, LLC · CEDAR KNOLLS, NJ
FAIRBRIDGE CAPITAL MANAGEMENT, LLC · Cedar Knolls, NJ
ALLSTATE FINANCIAL ADVISORS, LLC · Cedar Knolls, NJ
ALJEN ASSET MANAGEMENT LLC · CEDAR KNOLLS, NJ
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · CEDAR KNOLLS, NJ
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