Shobhan M. Sheth

SHETH GROUP

Pittsburgh, PA 15213

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CRD#: 1141494

Professional summary

Shobhan Manubhai Sheth is a registered financial advisor currently at SHETH GROUP located in Pittsburgh, Pennsylvania and GT SECURITIES, INC. located in Los Angeles, California.

Shobhan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Shobhan has worked at 25 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

*Mid-Market Securities, LLC; SAME AS BRANCH; INV REL; Securities; registered representative; START DATE=08/2019; HRS/MO=5; TRADING HRS/MO=5; *SHETH ADVISORY GROUP LLC; SAME AS BRANCH; INV REL; INSURANCE; BROKER/OWNER; START DATE=01/2007; HRS/MO=15; TRADING HRS/MO=5; INSURANCE SALES; *SHETH ENTERPRISES INC; SAME AS BRANCH; NON-INV REL; LEGAL SHIELD SALES AND REFERRAL FEES; OWNER; START DATE=01/1990; HRS/MO=15; TRADING HRS/MO=5; SALE OF LEGAL SHIELD SERVICE AND REFERAL FEES FROM COMMERCIAL FINANCE; *SHETH LLC; SAME AS BRANCH; NON-INV REL; REALTOR; OWNER; START DATE=01/2015; HRS/MO=10; TRADING HRS/MO=2; RESIDENTIAL AND COMMERCIAL REAL ESTATE SALES; *SOBERS BUSINESS BROKERS; SAME AS BRANCH; NON-INV REL; SALE OF Small Owner Operated BUSINESSES; BROKER/OWNER; START DATE=01/1990; HRS/MO=5; TRADING HRS/MO=2; *SVN INTERNATIONAL INC; SAME AS BRANCH; NON-INV REL; COMMERCIAL REAL ESTATE REALTOR; FRANCHISE OWNER; START DATE=01/2015; HRS/MO=15; TRADING HRS/MO=5; *ROHAN CUSTOM GRAPHICS, PRINTING PUBLISHING BROKERS; SAME AS BRANCH; NON-INV REL; PROMOTIONAL ITEMS AT WHOLESALE PRICES; OWNER; START DATE=01/1995; HRS/MO=1; TRADING HRS/MO=0; ORDER PROMOTIONAL ITEMS, PRINTING JOBS FOR MY OWN BUSINESS; START DATE=01/1980; HRS/MO=.25; TRADING HRS/MO=0; *Legal Shield; same as branch; non-inv rel; personal & business legal plans enrollment; Independent Associate; start date=04/2010; hrs/mo=2; trading hrs/mo=0; personal & business legal plan sale

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shobhan Manubhai Sheth's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 18, 2021 - Present

SHETH GROUP

Office #1: 3250 Boulevard Of The Allies, Pittsburgh, PA 15213

RIA

CRD#: 312251

Pittsburgh, PA

Current

April 15, 2025 - Present

GT SECURITIES, INC.

Office #1: 12130 Millennium Dr Suite 300, Los Angeles, CA 90094

CRD#: 116012

Los Angeles, CA

Past

August 2, 2019 - December 6, 2021

MID-MARKET SECURITIES, LLC

CRD#: 126750

MOUNT KISCO, NY

Past

September 26, 2018 - July 18, 2019

AMERITAS INVESTMENT COMPANY, LLC

RIA

CRD#: 14869

PITTSBURGH, PA

Past

September 25, 2018 - July 18, 2019

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

PITTSBURGH, PA

Past

December 11, 2015 - October 14, 2016

GLOBAL INVESTMENT ADVISORS, LLC

RIA

CRD#: 121442

Pittsburg, PA

Past

November 7, 2015 - October 14, 2016

ESSEX SECURITIES LLC

CRD#: 46605

JERSEY CITY, NJ

Past

January 17, 2014 - November 12, 2015

INVESTMENTS FOR YOU, INC.

CRD#: 29257

MARYSVILLE, OH

Past

July 19, 2012 - December 31, 2012

AMERICAN HERITAGE SECURITIES, INC.

CRD#: 29678

AKRON, OH

Past

May 25, 2010 - May 31, 2012

INDEPENDENCE CAPITAL CO., INC.

RIA

CRD#: 24723

PARMA, OH

Past

May 21, 2010 - May 31, 2012

INDEPENDENCE CAPITAL CO., INC.

CRD#: 24723

PARMA, OH

Past

April 8, 2008 - February 26, 2010

RIDGEWAY & CONGER, INC.

CRD#: 113055

NEW WOODSTOCK, NY

Past

March 11, 2008 - February 26, 2010

RIDGEWAY CONGER ADVISORY SERVICES

RIA

CRD#: 139372

PITTSBURGH, PA

Past

October 11, 2007 - February 26, 2008

LEIGH BALDWIN & CO., LLC

CRD#: 38751

CAZENOVIA, NY

Past

October 25, 2006 - October 11, 2007

AURA ASSET MANAGEMENT, INC.

RIA

CRD#: 129402

BIRMINGHAM, AL

Past

October 20, 2006 - October 11, 2007

AURA FINANCIAL SERVICES, INC.

CRD#: 42822

BIRMINGHAM, AL

Past

March 31, 2006 - August 21, 2006

THE INVESTMENT CENTER, INC.

CRD#: 17839

PITTSBURGH, PA

Past

June 15, 2005 - April 10, 2006

OSAIC FS, INC.

CRD#: 3870

PITTSBURGH, PA

Past

December 17, 2001 - December 3, 2004

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

July 20, 1998 - December 20, 2001

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

Past

February 26, 1998 - July 20, 1998

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

July 21, 1995 - February 25, 1998

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

June 17, 1994 - July 20, 1995

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

HARTFORD, CT

Past

May 19, 1992 - March 28, 1994

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

January 1, 1992 - May 12, 1992

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

January 10, 1991 - October 2, 1991

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

June 18, 1989 - December 31, 1990

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

June 17, 1988 - June 18, 1989

SOUTHMARK FINANCIAL SERVICES, INC.

CRD#: 6518

Past

July 11, 1986 - June 21, 1988

NATIONWIDE SECURITIES, LLC

CRD#: 11173

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(2/18/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/3/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/28/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/26/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/10/1986

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 12/7/2000

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

SHETH GROUP

SHETH CAPITAL MANAGEMENT LLC | SHETH GROUP

CRD#: 312251 / SEC#:

Pennsylvania

Registered Investment Advisory firm - (2/18/2021 Approved)

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Contact information

Main Address

3250 Boulevard Of The Allies, Pittsburgh, PA 15213

Mailing Address

Phone number

(412) 241-2440

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Shobhan M. Sheth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shobhan Manubhai Sheth's CRS (Customer Relationship Summary).

Certified licenses

Experience

GT SECURITIES, INC.

MID-MARKET SECURITIES, LLC

AMERITAS INVESTMENT COMPANY, LLC

AMERITAS INVESTMENT COMPANY, LLC

GLOBAL INVESTMENT ADVISORS, LLC

ESSEX SECURITIES LLC

INVESTMENTS FOR YOU, INC.

AMERICAN HERITAGE SECURITIES, INC.

INDEPENDENCE CAPITAL CO., INC.

INDEPENDENCE CAPITAL CO., INC.

RIDGEWAY & CONGER, INC.

RIDGEWAY CONGER ADVISORY SERVICES

LEIGH BALDWIN & CO., LLC

AURA ASSET MANAGEMENT, INC.

AURA FINANCIAL SERVICES, INC.

THE INVESTMENT CENTER, INC.

OSAIC FS, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

NATHAN & LEWIS SECURITIES, INC.

NEW ENGLAND SECURITIES

OSAIC FS, INC.

HIMCO DISTRIBUTION SERVICES COMPANY

WOODBURY FINANCIAL SERVICES, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

SUNAMERICA SECURITIES, INC.

SOUTHMARK FINANCIAL SERVICES, INC.

NATIONWIDE SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/3/1992

Series 63

Date: 3/28/1986

SIE

Date: 10/1/2018

Series 7

Date: 9/26/2001

Series 6

Date: 7/10/1986

Series 26

Date: 12/7/2000

FINRA

Current Firm

SHETH GROUP

Contact information

Documents

Red Flags

Company Information

SHETH GROUP

TRUST BUT VERIFY

Contact information

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