Areas of Practice
Retirement PlanningEducation PlanningEstate PlanningInvestment Management
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
9179 advisors
Number of Clients
574,829 clients
Average Client Portfolio
$348K average
Assets Under Management
$200.3B
Fee Structure
Minimum Investment:$5.5K
Financial Planning:Investment management only
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Contact
Rick Scott Shapiro
Location
8755 West Higgins Road, Suite 200, Chicago, IL, 60631
Get directionsHistory
Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Rick is an insurance agent offering and servicing fixed insurance products, including fixed and indexed annuities, accident, health, and traditional life insurance, since 2018. This activity takes about a quarter of his time.
Employment History
Current Registrations
Osaic Wealth, INC.Broker
January 2025 - Present · 1 yr 1 mo
Osaic Wealth, INC.
January 2025 - Present · 1 yr 1 mo
Previous Registrations
Osaic Fa, INC.
January 2019 - January 2025 · 6 yrs
Osaic Fa, INC.Broker
December 2018 - January 2025 · 6 yrs 1 mo
AXA Advisors, LLCBroker
June 2008 - December 2018 · 10 yrs 6 mos
Mutual Service Corporation
March 2005 - June 2008 · 3 yrs 3 mos
Mutual Service CorporationBroker
June 2003 - June 2008 · 5 yrs
M Holdings Securities, INC.Broker
April 2001 - June 2003 · 2 yrs 2 mos
Mutual Service CorporationBroker
July 1998 - May 2001 · 2 yrs 10 mos
Ascend Financial Services, INC.Broker
July 1988 - July 1998 · 10 yrs
Consolidated Resources, INC.Broker
November 1985 - July 1988 · 2 yrs 8 mos
State Registrations7 states
AZCACOFLIAILWY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.
Contact
Rick Scott Shapiro