Jatin C. 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.
Jatin Chandulal Shah, who also goes by Jatin C Shah, Jatinkumar Chandulal Shah, was a registered financial professional .
Jatin is a previously registered financial professional and started their career in finance in 1988. Jatin had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2014 - October 31, 2016
BROKER DEALER FINANCIAL SERVICES CORP.
January 5, 2012 - December 31, 2013
CENTAURUS FINANCIAL, INC.
November 1, 2002 - December 31, 2011
WOODBURY FINANCIAL SERVICES, INC.
October 8, 2001 - March 15, 2002
IDS LIFE INSURANCE COMPANY
October 8, 2001 - March 15, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
October 19, 2000 - September 27, 2001
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 25, 1988 - November 5, 1998
METROPOLITAN LIFE INSURANCE COMPANY
January 25, 1988 - November 5, 1998
MSI FINANCIAL SERVICES, INC.
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
BROKER DEALER FINANCIAL SERVICES CORP.
CRD#: 8073 / SEC#: , 8-24220
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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.
