Steven Shapiro has been Member, Manager, Chief Investment Officer, Trustee Steven 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.
No adviser firm registrations are on Steven Shapiro’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 57TO | Securities Trader Exam | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 14 August 2009 |
| Series 55 | Limited Representative-Equity Trader Exam | 12 April 2000 |
| Series 63 | Uniform Securities Agent State Law Examination | 6 August 1991 |
| Series 7 | General Securities Representative Examination | 16 July 1991 |
- Name
- Securities Trader Exam
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials 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
- Steven Arthur Shapiro
- CRD
- 2153746
- Firm
- New Vernon Wealth Management · CRD 164775
- Role
- Member, Manager, Chief Investment Officer, Trustee Steven Shapiro Gift Trust
- Registration
- Broker registration; no current adviser registration
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Steven Shapiro work?
Steven Shapiro has been Member, Manager, Chief Investment Officer, Trustee Steven Shapiro Gift Trust of New Vernon Wealth Management LLC since January 2013, and is a control person of the firm.
Does Steven Shapiro have a current investment-adviser registration?
Steven Shapiro has a current broker registration and no current investment-adviser registration.
What exams has Steven Shapiro passed?
Steven Shapiro has passed 6 licensing exams: the Series 7, Series 63, Series 55, Series 24, Series 57TO and Series 99TO. The earliest, the Series 7, was passed in July 1991. FINRA credited Steven Shapiro with the SIE, which began in October 2018.
Is Steven Shapiro registered with FINRA?
Yes. Steven Shapiro has a current broker registration, under CRD 2153746.
Source: FINRA BrokerCheck
How can I verify Steven Shapiro’s record?
Search CRD 2153746 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Steven Shapiro’s full registration record.
