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Detailed Report
Maxwell Shapiro
Max Shapiro, Maxwell Benjamin Shapiro
CRD#: 6532507
IA
Investment Adviser
B
Broker
WEALTH ENHANCEMENT ADVISORY SERVICES, LLCCRD#: 116407 43141 BUSINESS CENTER PKWY
SUITE 106
LANCASTER, CA 93535
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLCCRD#: 130139 43141 BUSINESS CENTER PKWY
SUITE 106
LANCASTER, CA 93535
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2024 - Present (<1 year)BLPL FINANCIAL LLC (CRD# 6413)2021 - Present (4 years)BALLSTATE FINANCIAL SERVICES, LLC (CRD# 18272)2019 - 2021 (1 year)BSAMMONS FINANCIAL NETWORK, LLC (CRD# 158538)2015 - 2019 (3 years)IAHOUSEHOLDER GROUP ESTATE & RET... (CRD# 169045)2021 - 2024 (3 years)
License(s)

State Registrations

B
Alabama 10/6/2021
B
Nevada 3/2/2021
B
Arizona 3/2/2021
B
New Mexico 9/27/2021
B
Arkansas 4/20/2022
B
New York 12/2/2022
B
California 2/9/2021
B
North Carolina 12/5/2022
IA
California 11/1/2024
B
Oklahoma 3/8/2023
B
Colorado 2/23/2021
B
Oregon 3/2/2021
B
Florida 3/2/2021
B
Pennsylvania 3/8/2023
B
Georgia 3/1/2022
B
South Carolina 3/13/2023
B
Hawaii 6/1/2022
B
South Dakota 10/6/2021
B
Idaho 3/2/2021
B
Tennessee 7/18/2022
B
Illinois 3/2/2021
B
Texas 2/23/2021
B
Indiana 12/2/2022
IA
Texas 11/1/2024
B
Kansas 1/8/2025
B
Utah 9/20/2021
B
Louisiana 3/2/2021
B
Vermont 11/4/2021
B
Maryland 3/1/2022
B
Virginia 3/8/2023
B
Michigan 2/24/2022
B
Washington 3/2/2021
B
Minnesota 3/2/2021
B
Wyoming 3/1/2022
B
Missouri 3/8/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC (CRD#:130139)
43141 BUSINESS CENTER PKWY SUITE 106, LANCASTER, CA 93535
Registered with this firm since 12/2/2024
IA
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC (CRD#:116407)
43141 BUSINESS CENTER PKWY SUITE 106, LANCASTER, CA 93535
Registered with this firm since 11/1/2024
B
LPL FINANCIAL LLC (CRD#:6413)
43141 BUSINESS CNTR PKWY #106, LANCASTER, CA 93535
27240 TURNBERRY LN STE 200, VALENCIA, CA 91355
Registered with this firm since 2/9/2021
Previous Registration(s)
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IA
 02/11/2021 - 11/01/2024 HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS (CRD#:169045) Lancaster, CA
B
 10/23/2019 - 02/11/2021 ALLSTATE FINANCIAL SERVICES, LLC (CRD#:18272) VALENCIA, CA
B
 10/26/2015 - 08/26/2019 SAMMONS FINANCIAL NETWORK, LLC (CRD#:158538) WEST DES MOINES, IA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.