Jason N. Shih
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jason Nathaniel Shih, who also goes by Jason N Shih, was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 1987. Jason had worked at 7 firms and has passed the Series 66, Series 65, Series 63, Series 3, Series 7, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2011 - December 19, 2012
CONSTELLATION WEALTH ADVISORS LLC
March 24, 2011 - December 19, 2012
CONSTELLATION WEALTH ADVISORS LLC
September 9, 2003 - December 31, 2007
S4 CAPITAL, LLC
September 8, 2003 - March 24, 2008
LITTLE RIVER CAPITAL, LLC
January 13, 2001 - August 28, 2003
DEUTSCHE BANK SECURITIES INC.
October 3, 2000 - August 28, 2003
DEUTSCHE BANK SECURITIES INC.
September 1, 1997 - January 13, 2001
DB ALEX. BROWN LLC
June 19, 1991 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
October 20, 1987 - July 22, 1991
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 11/18/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CONSTELLATION WEALTH ADVISORS LLC
CRD#: 142502 / SEC#: 801-67762, 8-67471
Contact information
Disclosures
| Regulatory Event | 1 |
Red Flags
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