HS
Himanshu H. Shah
SHAH CAPITAL MANAGEMENT
Raleigh, NC 27612
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CRD#: 2121411
HS
Professional summary
Himanshu Harshad Shah is a registered financial advisor currently at SHAH CAPITAL MANAGEMENT located in Raleigh, North Carolina.
Himanshu is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Himanshu has worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 22 and Series 6 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.
(1) Marius Pharmaceuticals - Investment-related - Address: 2301 Sugar Bush Road, Suite 510, Raleigh, NC 27612 - Nature of Business: Biopharmaceutical company focused on oral testosterone therapies for men - Position: Founding Executive Chairman - Start Date: January 6, 2017 - Hours per month: 15 hours monthly - Hours per month during securities trading hours: 5 hours - Duties: Attend BOD Meetings; review meeting materials; participate in other BOD activities, serve as chairman at the BOD meetings; takes an active role in direct oversight and strategic business priorities implementation. (2) SOL (Emeren Group Ltd) - Investment related - Address: 850 Canal St, Stamford, CT 06902 - Nature of Business: Solar Development Projects - Position/title: Board/Chairman - Start Date: Board Director 3/22/2022, Chairman 11/22/2022 - Hours per month: 30 hours monthly - Hours per month during securities trading hours: 15 hours - Duties: Attend board of director meetings as chairman; review meeting materials; participate in other board of director activities; taking an active role on oversight and strategic business priorities implementation.
CRS (Client Relationship Summary) - RIA
Click below to view Himanshu Harshad Shah'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®
NoneExperience
Current
February 4, 2005 - Present
SHAH CAPITAL MANAGEMENT
Office #1: 2301 Sugar Bush Rd Suite 510, Raleigh, NC 27612RIA
CRD#: 133941
Raleigh, NC
Past
August 13, 1999 - February 18, 2005
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
RALEIGH, NC
Past
August 18, 1995 - February 18, 2005
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
October 30, 1993 - August 22, 1995
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
WAVERLY, IA
Past
April 24, 1991 - October 29, 1993
CENTURY INVESTORS OF AMERICA, INC.
BD
CRD#: 5322
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SC
SHAH CAPITAL MANAGEMENT
SHAH CAPITAL MANAGEMENT | SHAH CAPITAL MANAGEMENT, INC
CRD#: 133941 / SEC#: 801-63881
RIA
Registered Investment Advisory firm - (2/4/2005 Approved)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
North Carolina(8/3/2005)
IAR
Texas(2/4/2005)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SC
SHAH CAPITAL MANAGEMENT
SHAH CAPITAL MANAGEMENT | SHAH CAPITAL MANAGEMENT, INC
CRD#: 133941 / SEC#: 801-63881
RIA
Registered Investment Advisory firm - (2/4/2005 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2301 Sugar Bush Road Suite 510, Raleigh, NC 27612
Mailing Address
Phone number
(919) 719-6360
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 84 |
| AUM (Assets Under Management) | $ 639,263,299 |
Red Flags
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Company Information
SHAH CAPITAL MANAGEMENT
CRD#: 133941Raleigh, NC 27612TRUST BUT VERIFY
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