Ramesh N. Shah
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.
Ramesh Nagindas Shah, who also goes by Ramesh N Shah, Ramesh Shah, was a registered financial professional .
Ramesh is a previously registered financial professional and started their career in finance in 1989. Ramesh had worked at 4 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 1994 - February 29, 1996
FLEET ENTERPRISES, INC.
July 31, 1993 - November 5, 1993
CITIGROUP GLOBAL MARKETS INC.
May 16, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
August 30, 1989 - May 29, 1991
AMERICAN EXPRESS SERVICE CORPORATION
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
Current Firm
FLEET ENTERPRISES, INC.
CRD#: 17434 / SEC#: , 8-35188
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FLEET BANK NATIONAL ASSOCIATION | SOLE SHAREHOLDER | |
| BOTT, ROBERT LAWRENCE | VICE PRESIDENT | 1079745 |
| FROUDE, DONALD EDMUND | PRESIDENT | 1002120 |
| GAY, WILLIAM GEORGE | FINOP | 2899820 |
| GUARCELLO, ANTHONY PETER | VICE PRESIDENT | 2609273 |
| HUDSON, JOHN THOMAS | MUNICIPAL PRINCIPAL | 1608999 |
| LABARBERA, SALVATORE | DIRECTOR, VICE PRESIDENT AND SROP/CROP | 872226 |
| MERCURIO, PASCAL JAMES | CHAIRMAN & DIRECTOR | 825595 |
| NIGROSH, DIANE JOY | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT & SECRETARY | 863863 |
| QUICK, LESLIE CHARLES III | VICE PRESIDENT & DIRECTOR | 1079748 |
| QUICK, THOMAS CLARKSON | DIRECTOR | 1079750 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 1 |
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.
