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KAREN GAYLE SHAPIRO
CRD#: 4969692
IA
B
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.CRD#: 134139 367 Route 120
Unit84
Lebanon, NH 03766
Unit84
Lebanon, NH 03766
CAMBRIDGE INVESTMENT RESEARCH, INC.CRD#: 39543 324 Grove St.
Worcester, MA 01605
Worcester, MA 01605
0
Disclosures
8
Years of Experience
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State Registrations
B
Connecticut 6/27/2022
B
Ohio 1/2/2024
B
Florida 6/27/2022
B
Pennsylvania 6/27/2022
B
Massachusetts 6/27/2022
B
Texas 1/2/2025
IA
Massachusetts 7/19/2022
IA
Texas 1/2/2025
B
Michigan 6/27/2022
B
Vermont 6/27/2022
B
New Hampshire 6/27/2022
IA
Vermont 7/13/2022
IA
New Hampshire 7/11/2022
B
Wisconsin 1/2/2025
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 7/7/2022
B
Registered with this firm since 6/27/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 02/16/2017 - 07/01/2022 | SHREWSBURY, MA | |
IA | 07/02/2019 - 06/27/2022 | Shrewsbury, MA | |
IA | 06/20/2017 - 08/28/2019 | Welleseley Hills, MA | |
B | 04/11/2012 - 12/12/2012 | NEW YORK, NY |
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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.