Naishad D. 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.
Naishad Devidas Shah, who also goes by Andy Shah, Naishad D Shah, was a registered financial professional .
Naishad is a previously registered financial professional and started their career in finance in 1997. Naishad had worked at 10 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 2005 - September 29, 2006
LEMPERT BROTHERS INTERNATIONAL USA, INC.
June 24, 2004 - August 25, 2005
AURA FINANCIAL SERVICES, INC.
March 14, 2003 - June 24, 2004
FIRST MONTAUK SECURITIES CORP.
February 19, 2002 - October 29, 2002
GLENN MICHAEL FINANCIAL, INC.
July 10, 2001 - November 5, 2001
VALLEY FORGE SECURITIES, INC .
May 14, 2001 - June 26, 2001
BISHOP, ROSEN & CO., INC.
March 14, 2001 - May 18, 2001
GLENN MICHAEL FINANCIAL, INC.
May 12, 1999 - September 13, 1999
KEATON FINANCIAL SERVICES, INC.
July 9, 1998 - May 19, 1999
JOSEPHTHAL & CO., INC.
January 13, 1997 - February 5, 1997
GLEN RAUCH SECURITIES, INC.
January 13, 1997 - December 4, 1997
MORGAN STANLEY DW 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
LEMPERT BROTHERS INTERNATIONAL USA, INC.
CRD#: 128241 / SEC#: , 8-66109
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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