Parshu 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.
Parshu Shah was a registered financial professional .
Parshu is a previously registered financial professional and started their career in finance in 2001. Parshu had worked at 2 firms and has passed the Series 63, SIE, Series 3, 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
September 27, 2018 - August 5, 2021
CREDIT SUISSE PRIME SECURITIES SERVICES (USA) LLC
March 22, 2001 - August 5, 2021
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CREDIT SUISSE PRIME SECURITIES SERVICES (USA) LLC
CRD#: 151470 / SEC#: , 8-68376
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CREDIT SUISSE (USA), INC. | SOLE MEMBER | |
| CURRAN, RICHARD JOHN SR. | CHIEF OPERATING OFFICER | 4136136 |
| FISHER, JOHN JOSEPH | CHIEF COMPLIANCE OFFICER | 1588235 |
| HARROP, THOMAS J. | BOARD MEMBER | 4794173 |
| JHAWAR, NEIR | BOARD MEMBER | 5172109 |
| LUPETIN, SERGIO JOSEPH | CHIEF FINANCIAL OFFICER | 1221963 |
| MORRIS, DAVID STAUNTON | CHIEF EXECUTIVE OFFICER | 4827683 |
| REED, SALLY O | GENERAL COUNSEL | 4983901 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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