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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

Zak W Shapiro

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Los Angeles, CA | RANCHO MIRAGE, CA

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Search this name across graphsid dfx:ria:ca9b306d-474c-a817-6350-12938d7763a8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Aug 24, 1998 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: AMERIPRISE FINANCIAL SERVICES, LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 14, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Jan 14, 1998
First registration: Aug 24, 1998
Dual registered: yes, broker-dealer
Other names: Zachary Shapiro|ZAK WILLIAM SHAPIRO|Zak Shapiro
IAPD individual key: 2982878

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Oct 12, 2017	n/a	yes	Los Angeles, CA\|RANCHO MIRAGE, CA	Current employment
OPPENHEIMER & CO. INC.	Bd affiliated wealth	Jun 5, 2013	Oct 13, 2017	no	LOS ANGELES, CA	Previous registration
WESTERN INTERNATIONAL SECURITIES	Former SEC adviser	Oct 27, 2010	Jun 14, 2013	no	Crystal Bay, NV\|LOS ANGELES, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Dec 10, 2009	Oct 14, 2010	no	LOS ANGELES, CA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Dec 19, 2009	no	LOS ANGELES, CA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Apr 20, 2007	no	BEVERLY HILLS, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Mar 30, 2007	Jun 1, 2009	no	LOS ANGELES, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Aug 24, 1998	Apr 2, 2007	no	BEVERLY HILLS, CA\|BEVERLY HLS, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
OPPENHEIMER & CO. INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Oct 13, 2017	Oct 12, 2017	-1	Firm change	Other
WESTERN INTERNATIONAL SECURITIES	OPPENHEIMER & CO. INC.	Jun 14, 2013	Jun 5, 2013	-9	Firm change	Other
WELLS FARGO ADVISORS	WESTERN INTERNATIONAL SECURITIES	Oct 14, 2010	Oct 27, 2010	13	Firm change	Other
MORGAN STANLEY	WELLS FARGO ADVISORS	Dec 19, 2009	Dec 10, 2009	-9	Firm change	Wirehouse to wirehouse
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY & CO. LLC	Jun 1, 2009	Apr 2, 2007	-791	Firm change after gap	Other
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Apr 20, 2007	Jun 1, 2009	773	Firm change after gap	Other
MORGAN STANLEY DW INC.	CITIGROUP GLOBAL MARKETS INC.	Apr 2, 2007	Mar 30, 2007	-3	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
249:6363:CA:2017-10-13	Oct 13, 2017	Oct 12, 2017	LOS ANGELES, CA	Firm change

Relationships

Registered with (8)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Oct 12, 2017 to presentfactForm ADV
→ OPPENHEIMER & CO. INC.Registered adviserregistration: previous registration
Jun 5, 2013 to Oct 13, 2017factForm ADV
→ WESTERN INTERNATIONAL SECURITIESRegistered adviserregistration: previous registration
Oct 27, 2010 to Jun 14, 2013factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Dec 10, 2009 to Oct 14, 2010factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Dec 19, 2009factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Mar 30, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Apr 20, 2007factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Aug 24, 1998 to Apr 2, 2007factForm ADV

Dated events

No dated event names this entity yet.