Individual Firm
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Brian Shaper
BRIAN LEWIS SHAPER
CRD#: 3155881
IA
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NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 501 Fellowship Rd
Ste 303
MOUNT LAUREL, NJ 08054
Ste 303
MOUNT LAUREL, NJ 08054
0
Disclosures
20
Years of Experience
View By:
State Registrations
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Arizona 11/28/2023
B
New York 9/25/2023
B
California 3/22/2022
B
North Carolina 11/8/2021
B
Delaware 2/21/2024
B
Pennsylvania 10/11/2021
B
District of Columbia 5/25/2022
B
Texas 1/12/2022
B
Maryland 3/23/2022
B
Utah 10/18/2022
B
New Jersey 10/8/2021
B
Washington 12/3/2022
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New Jersey 10/19/2021
SRO Registrations
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IA
Registered with this firm since 10/19/2021
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Registered with this firm since 10/8/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/01/2018 - 09/09/2021 | Fort Washington, PA | |
B | 02/28/2018 - 09/09/2021 | Fort Washington, PA | |
IA | 07/12/2006 - 02/26/2018 | PENNINGTON, NJ | |
B | 06/06/2006 - 02/26/2018 | PENNINGTON, NJ | |
B | 01/20/2005 - 06/01/2006 | JENKINTOWN, PA | |
B | 05/14/2004 - 07/08/2004 | NEW YORK, NY |
PENNINGTON, NJ
07/12/2006 - 02/26/2018
PENNINGTON, NJ
06/06/2006 - 02/26/2018
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.