SHAPIRO FINANCIAL SECURITY GROUP, INC.
Adviser information for SHAPIRO FINANCIAL SECURITY GROUP, INC. last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New Jersey, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 493 | $113.1M |
| Non-Discretionary | 35 | $9.1M |
| Total | 528 | $122.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 127 | $122.2M |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Accountant or accounting firm |
Identifiers
| SEC RIA File Number | 801-121063 |
|---|---|
| SEC ERA File Number | 801-121063 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 120801 |
| Legal Entity Identifier | None |
Principal Office
1 BETHANY ROADBUILDING 6, SUITE 90
HAZLET
NJ
United States
Monday - Friday, 9:00 A.M.-5: 00 P.M.
Tel: 732-739-8991, Fax: 732-739-8667
Websites
Chief Compliance Officer
KENNETH B. SHAPIRO
PRESIDENT
1 BETHANY ROAD
BUILDING 6, SUITE 90
HAZLET
NJ
United States
Tel:
732-739-8991
Fax:
732-739-8667
K*******@*************M
(Full email address available in API data)
Regulatory Contact
SANDRA I. SHAPIRO
OFFICE MANAGER
1 BETHANY ROAD
BUILDING 6, SUITE 90
HAZLET
NJ
United States
Tel:
732-739-8991
Fax:
732-739-8667
S*******@*************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SHAPIRO, KENNETH, BART | Individual | – | PRESIDENT/CHIEF COMPLIANCE OFFICER | 12/1982 | > 75% |