Sandip K. Shah

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CRD#: 2649681

Professional summary

Sandip Kishor Shah was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Sandip is a previously registered financial advisor and started their career in finance in 1995. Prior to being barred, Sandip had worked at 5 firms, which includes STIFEL INDEPENDENT ADVISORS LLC, WEDBUSH SECURITIES INC., MORGAN STANLEY DW INC., PRUDENTIAL EQUITY GROUP LLC, THE BOSTON GROUP.

Question & Answer

Are you a "fiduciary"?

Aliases

Sandip K Shah | Steve Shah

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 15, 2002 - February 22, 2007

STIFEL INDEPENDENT ADVISORS, LLC

RIA

CRD#: 28218

COVINA, CA

Past

May 7, 2002 - February 22, 2007

STIFEL INDEPENDENT ADVISORS, LLC

CRD#: 28218

COVINA, CA

Past

February 20, 2002 - May 7, 2002

WEDBUSH SECURITIES INC.

CRD#: 877

PASADENA, CA

Past

January 28, 1999 - February 1, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

April 4, 1997 - January 27, 1999

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

September 20, 1995 - March 31, 1997

THE BOSTON GROUP

CRD#: 37652

LOS ANGELES, CA

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".

STIFEL INDEPENDENT ADVISORS, LLC

CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.

CRD#: 28218 / SEC#: 801-43561, 8-43514

RIA

Registered Investment Advisory firm - SEC (3/19/1993 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/24/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/28/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 8/23/2001

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/19/1995

General Securities Representative Examination

Current Firm

STIFEL INDEPENDENT ADVISORS, LLC

CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.

CRD#: 28218 / SEC#: 801-43561, 8-43514

RIA

Registered Investment Advisory firm - SEC (3/19/1993 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

One Financial Plaza 501 North Broadway, St Louis, MO 63102

Mailing Address

One Financial Plaza 501 North Broadway, St. Louis, MO 63102

Phone number

(314) 342-4051

Established

Missouri since 05/24/2021

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

206

SEC notice filing (49 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADVISORY CONSULTING SERVICES (3/31/2025)

FINANCIAL PLANNING (3/31/2025)

WRAP FEE PROGRAM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
STIFEL FINANCIAL CORP.	OWNER-HOLDING COMPANY OWNING 100%
KRUSZEWSKI, RONALD JAMES	CHAIRMAN, STIFEL FINANCIAL	1434827
BRAUTIGAM, ALLEN COR	PRESIDENT AND CEO	2400179
BRIGHT, GEOFFREY CLYDE JR	CHIEF COMPLIANCE OFFICER	4696103
DODSON, CHARLES EDWARD	CCO-ADVISORY SERVICES	1744430
FISHER, MARK PHILIP	GENERAL COUNSEL	4970942
MELINGER, ADAM SCOTT	ROSFP	2373020
NOLL, DOUGLAS WAYNE	PRINCIPAL OPERATIONS OFFICER	1614129
ROWAN, JAMES FRANCIS	PRINCIPAL FINANCIAL OFFICER	1976998
ZEMLYAK, JAMES MARK	MANAGER, BOARD OF MANAGERS	1586132

Regulatory assets under management

Total Number of Accounts	11,648
AUM (Assets Under Management)	$ 4,379,138,273

Disclosures

Regulatory Event	3
Arbitration	1

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/20/2024	Cover Page	Report
09/28/2023	Cover Page	Report
11/28/2022	Cover Page	Report

Red Flags

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Firm Stability Insights

Sandip K. Shah

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

STIFEL INDEPENDENT ADVISORS, LLC

WEDBUSH SECURITIES INC.

MORGAN STANLEY DW INC.

PRUDENTIAL EQUITY GROUP, LLC

THE BOSTON GROUP

Primary Firm SEC Registration

STIFEL INDEPENDENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/24/1997

Series 63

Date: 9/28/1995

Series 31

Date: 8/23/2001

Series 7

Date: 9/19/1995

Current Firm

STIFEL INDEPENDENT ADVISORS, LLC

Contact information

SEC notice filing (49 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

STIFEL INDEPENDENT ADVISORS, LLC

TRUST BUT VERIFY

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