Samir H. Bhatt

SHB ADVISORS

Washington, DC 20007

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CRD#: 2961708

Professional summary

Samir Harendra Bhatt is a registered financial advisor currently at SHB ADVISORS located in Washington, District Of Columbia.

Samir is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Samir has worked at 3 firms and has passed the Series 65, Series 63, Series 3 and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samir Harendra Bhatt'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®

None

Experience

Current

June 19, 2018 - Present

SHB ADVISORS

Office #1: 1050 30th St Nw, Washington, DC 20007

RIA

CRD#: 170529

Washington, DC

Past

August 26, 1999 - September 19, 2008

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

December 18, 1997 - September 3, 1999

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

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

District of Columbia
(6/19/2018)

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: 10/31/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/22/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 12/7/2017

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/17/1997

General Securities Representative Examination

Current Firm

SHB ADVISORS

SHB ADVISORS | SHB ADVISORS, LLC

CRD#: 170529 / SEC#:

District of Columbia

Registered Investment Advisory firm - (6/19/2018 Approved)

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Contact information

Main Address

1050 30th St Nw, Washington, DC 20007

Mailing Address

Phone number

(202) 719-1726

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	5
AUM (Assets Under Management)	$ 13,763,879

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Samir H. Bhatt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samir Harendra Bhatt's CRS (Customer Relationship Summary).

Certified licenses

Experience

SHB ADVISORS

CREDIT SUISSE SECURITIES (USA) LLC

J.P. MORGAN SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/31/2017

Series 63

Date: 12/22/1997

Series 3

Date: 12/7/2017

Series 7

Date: 12/17/1997

Current Firm

SHB ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SHB ADVISORS

TRUST BUT VERIFY

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