Daniel Shapiro has been Member, Manager, Trustee of Daniel Shapiro Gift Trust of New Vernon Wealth Management since January 2013, is a control person of the firm and directly owns between 10% and 25% of it.
New Vernon Wealth Management LLC is a Highland Park, IL firm with $781M under management, 187 clients and 5 advisers in one office, as of its March 2026 filing.
Daniel Shapiro’s longest registration is the current one, 13 years at New Vernon Wealth Management since 2013. Before joining New Vernon Wealth Management in 2013, Daniel Shapiro was registered through SF Investment Advisers.
- – present · 13 yearsHighland Park, IL · Adviser representative · Firm CRD 164775
- SF Investment Advisers– · 7 yearsHighland Park, IL · Adviser representative · Firm CRD 6564
Investment adviser representative registrations
Daniel Shapiro is registered as an investment adviser representative in 2 states, as a resident of Texas. Each was approved in March 2013.
- IllinoisSince 27 March 2013
- TexasResidentSince 27 March 2013
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 52TO | Municipal Securities Representative Examination | 25 September 2025 |
| Series 79TO | Investment Banking Registered Representative Examination | 2 January 2023 |
| Series 57TO | Securities Trader Exam | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 53 | Municipal Securities Principal Examination | 2 July 2012 |
| Series 65 | Uniform Investment Adviser Law Examination | 1 March 2006 |
| Series 24 | General Securities Principal Examination | 22 March 2004 |
| Series 55 | Limited Representative-Equity Trader Exam | 23 November 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 14 December 1994 |
| Series 7 | General Securities Representative Examination | 8 November 1994 |
- Name
- Municipal Securities Representative Examination
- Name
- Investment Banking Registered Representative Examination
- Name
- Securities Trader Exam
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Municipal Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Principal Examination
- Name
- Limited Representative-Equity Trader Exam
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Daniel Mark Shapiro
- CRD
- 1989147
- Firm
- New Vernon Wealth Management · CRD 164775
- Role
- Member, Manager, Trustee of Daniel Shapiro Gift Trust
- Office
- 799 CENTRAL AVE, SUITE 350, Highland Park, IL 60035
- Registration
- Investment adviser and broker registrations
- In the industry since
- November 1994
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Daniel Shapiro work?
Daniel Shapiro has been Member, Manager, Trustee of Daniel Shapiro Gift Trust of New Vernon Wealth Management LLC since January 2013, and is a control person of the firm.
Is Daniel Shapiro a financial advisor?
Yes. Daniel Shapiro has a current investment-adviser registration in Illinois and Texas, through New Vernon Wealth Management since March 2013.
How many years of experience does Daniel Shapiro have?
Daniel Shapiro has 31 years in the financial industry, since November 1994, across 2 adviser firms.
What exams has Daniel Shapiro passed?
Daniel Shapiro has passed 10 licensing exams: the Series 7, Series 63, Series 55, Series 24, Series 65, Series 53, Series 79TO, Series 57TO, Series 99TO and Series 52TO. The earliest, the Series 7, was passed in November 1994. FINRA credited Daniel Shapiro with the SIE, which began in October 2018.
Where did Daniel Shapiro work before New Vernon Wealth Management?
Before New Vernon Wealth Management, Daniel Shapiro was registered through SF Investment Advisers, March 2006 to March 2013.
Where is Daniel Shapiro based?
Daniel Shapiro’s registered office is in Highland Park, IL.
Is Daniel Shapiro registered with FINRA?
Yes. Daniel Shapiro has a current broker registration, under CRD 1989147.
Source: FINRA BrokerCheck
How can I verify Daniel Shapiro’s record?
Search CRD 1989147 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Daniel Shapiro’s full registration record.
