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Joel Shapiro

Head of Retirement Strategy and ERISA at Wealthspire Retirement

Investment adviser and broker registrationsAliso Viejo, CASEC record checked 17 October 2026

20
Years in the industry
20
Years at the firm
2
Adviser firms
1
State registrations

IAPD record retrieved 17 October 2026SEC record

Joel Shapiro is Head of Retirement Strategy and Erisa of Wealthspire Retirement, LLC, a Aliso Viejo investment adviser managing $38.6B. Joel Shapiro has been registered through Wealthspire Retirement since 27 June 2006, has 20 years in the industry across 2 firms and has passed the Series 6, Series 63, Series 65 and SIE.

Role at Wealthspire Retirement

Title on Schedule A
Head of Retirement Strategy and Erisa
Title the firm uses
Head of Retirement Strategy and ERISA
Control
Joel Shapiro is a control person of Wealthspire Retirement.
Ownership
An individual ownership band is not available in the source record.
Tenure
Joel Shapiro has held the filed role since February 2026.

The firm

Wealthspire Retirement, LLC
Aliso Viejo, CA

Form ADV filed 31 March 2026

$38.6B AUM7,532 clients139 advisers23 offices

Career on record

Joel Shapiro has been registered through Wealthspire Retirement since June 2006.

Firms and exams, newest first
  1. Kestra Investment Services, LLCCurrent
    – present · 3 years
    Costa Mesa, CA · Adviser representative and broker · Firm CRD 42046
  2. Passed SIE · 2018
  3. Wealthspire Retirement AdvisoryCurrent
    – present · 20 years
    Aliso Viejo, CA · Adviser representative · Firm CRD 121254
  4. Passed Series 6, Series 63 and Series 65 · 2006

Registrations and exams

Joel Shapiro has a current investment-adviser registration in California and has passed 4 qualifying exams.

California27 June 2006
Scope
Investment adviser representative
Status
Approved

Examinations

Series 6526 June 2006
Name
Uniform Investment Adviser Law Examination
Series 639 June 2006
Name
Uniform Securities Agent State Law Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 627 April 2006
Name
Investment Company Products/Variable Contracts Representative Examination

Individual record

Full name
Joel Barry Shapiro
CRD
5104448
Firm
Wealthspire Retirement, LLC
Registration status
Investment adviser and broker registrations
Office
120 VANTIS, SUITE 400, Aliso Viejo, CA 92656
Firm bio
wealthspire.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

Joel Shapiro leads retirement strategy and ERISA at Wealthspire. His work includes retirement plan design, fiduciary governance and regulatory compliance. Wealthspire, team biography

Education

Common questions

Where does Joel Shapiro work?

Joel Shapiro has been Head of Retirement Strategy and Erisa of Wealthspire Retirement, LLC since February 2026, and is a control person of the firm. On its own site, Wealthspire Retirement gives Joel Shapiro’s title as Head of Retirement Strategy and ERISA.

Source: Form ADV, Schedule A, filed 31 March 2026; Wealthspire Retirement website

Is Joel Shapiro a financial advisor?

Yes. Joel Shapiro has a current investment-adviser registration in California, through Wealthspire Retirement since June 2006, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

How many years of experience does Joel Shapiro have?

Joel Shapiro has worked in the financial industry for 20 years as of 17 October 2026, counted from 27 April 2006, across 2 adviser firms.

Source: IAPD individual record, checked 17 October 2026

What exams has Joel Shapiro passed?

Joel Shapiro has passed 4 licensing exams: the Series 6, Series 63, Series 65 and SIE. The earliest, the Series 6, was passed in April 2006.

Source: IAPD individual record, checked 17 October 2026

Where is Joel Shapiro based?

Joel Shapiro’s registered office is in Aliso Viejo, CA.

Source: IAPD individual record, checked 17 October 2026

Leadership at Wealthspire Retirement

Sources

  1. IAPD individual record, CRD 5104448. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Wealthspire Retirement, LLC, filed 31 March 2026. Title, control and ownership bands.
  3. Wealthspire Retirement team page. Biography, education, credentials, awards and portrait.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Joel Shapiro or Wealthspire Retirement, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.

The portrait is reproduced from the firm’s website for identification.